SICAP: Programme Requirements. Social Inclusion & Community Activation Programme Version 1.3

Transcription

1 SICAP: Programme Requirements Social Inclusion & Community Activation Programme Version 1.3

2 Table of Contents List of Acronyms... 3 Overview of the SICAP Programme Requirements... 4 Version Update... 4 Section 1: SICAP Programme Overview What is the Social Inclusion and Community Activation Programme? Horizontal Themes Timeframe SICAP Funding EU Funding Defining Roles in the Operating Structure... 7 Section 2: Approaches to Tackling Disadvantage and SICAP Beneficiary Groups Adopting a Dual Approach to Tackling Disadvantage Primary and Secondary Target Groups Area-based Approach Issue-based Target Groups Age Categories Section 3: The SICAP Framework and Client Engagement Goal 1: Empowering Disadvantaged Communities Goal 2: Lifelong Learning Goal 3: Employment Client Engagement: From registration to ongoing engagement Section 4: Monitoring Framework of SICAP Indicators SICAP Programme Beneficiaries IRIS Database Performance Monitoring/Reporting Section 5: Finance Eligible Costs Payment Instalments Reporting of VAT Costs SICAP Budget Changes/Revisions Management of SICAP Funding Audit/Verification Financial Reporting

3 Section 6: Annual Planning and Reporting Annual Planning Process Overview of the SICAP Reporting Requirements Mid-Year Report/Review End of Year Report Annual Performance Review Section 7: Communication and Publicity Purpose Contractual Requirement SICAP Information and Publicity Material Use of Logos Strapline to Acknowledge Funders Example of the Acknowledgement of Funders Other Information and Publicity Requirements Section 8: Corporate Governance and Procedural Frameworks Corporate Governance Procedural Frameworks Data Obligations and IRIS Section 9: Points of Contact / Further Support Programme Support Training, Support and Guidance Materials Other Specialised Supports Appendix 1: European Social Fund Co-Financing Appendix 2: Operational Protocol between DECLG and DSP

4 List of Acronyms ADM BTEI BTWEA CTC CTI DECLG DEIS DES DPER DSP ESF ESIF ETB EU IRIS ITT LCDC LCDP LCG LDSIP LECP LEOs LLL NEETs NESC NFQ PEIL PLC PPN PPSN QN QL SA SAPS SPC SICAP STEA VTOS YEI Area Development Management Back to Education Initiative Back To Work Enterprise Allowance Community Training Centre Central Technical Institute The Department of the Environment, Community and Local Government Delivering Equality of Opportunity in Schools: the Action Plan for Educational Inclusion Department of Education and Skills Department of Public Expenditure and Reform The Department of Social Protection European Social Fund European Structural and Investment Funds Education and Training Board European Union Integrated Reporting and Information System Invitation to Tender Local Community Development Committee Local and Community Development Programme Local Community Group Local Development Social Inclusion Programme Local Enterprise and Community Plan Local Enterprise Offices Life-long learning Young people aged years who are Not in Employment, Education or Training National Economic & Social Council National Framework of Qualifications Programme for Employability, Inclusion and Learning Post Leaving Certificate Course Public Participation Network Personal Public Service Number Quantitative Qualitative Small Area Small Area Population Statistics Strategic Policy Committee Social Inclusion and Community Activation Programme Short-Term Enterprise Allowance Vocational Training and Opportunities Scheme Youth Employment Initiative 3

5 Overview of the SICAP Programme Requirements The Social Inclusion and Community Activation Programme (SICAP) Programme Requirements are designed to provide an overview for Programme Implementers and Local Community Development Committees (LCDCs) of the key requirements for the operation and administration of the Programme These requirements should be read in conjunction with the respective contract ( Funding Agreement ) for each Lot, and all accompanying appendices and schedules. Each Programme Implementer and LCDC/Local Authority (the Contracting Authority) has signed a SICAP contract, with the tender submission forming a part of this contract. Each LCDC/Local Authority has also signed a Service Level Agreement (SLA) with the Department of the Environment, Community and Local Government and each LCDC/Local Authority should read these requirements in conjunction with that SLA. In the case of a dispute or any discrepancies between the Programme Requirements and the SICAP contract, the contract and any addendums issued will take precedence. This document sets out the key requirements in the areas of: Programme Implementation; Financial Management; Performance Monitoring; Audit; Corporate Governance; Specific requirements of the Contracting Authority, which administers SICAP funding locally; National eligibility rules pertaining to the European Social Fund, including in respect of the Youth Employment Initiative. This document forms part of the Funding Agreement (under Schedule C) for the delivery of SICAP between the LCDC and the Programme Implementer. The Contracting Authority (with the prior approval of the Department and/or Pobal) reserves the right to amend and update the Programmes Requirements as and when required. In addition, the Contracting Authority may issue additional directions, circulars, policies, procedures, protocols and other documentation applicable to the Programme, during the lifetime of the funding, as can the Department and/or Pobal. Version Update This is Version 1.3 which replaces V1.2 issued on 23 rd July This is the unhighlighted version of the document. In the highlighted version changes to the text from V1.2 have been highlighted in yellow and any removals of text are shown by an ellipsis ( ). This is the current version of the Programme Requirements and supersedes all previous iterations. 4

6 Section 1: SICAP Programme Overview 1.1 What is the Social Inclusion and Community Activation Programme? The Social Inclusion and Community Activation Programme (SICAP) has been developed within Ireland s dynamic social and economic landscape as the successor programme to the Local and Community Development Programme (LCDP) , which superseded the Local Development Social Inclusion Programme (LDSIP) and the Community Development Programme. The design of the Social Inclusion and Community Activation Programme has been informed by the views of the community and voluntary sector, in conjunction with Government and statutory priorities. The aim of SICAP is to reduce poverty and promote social inclusion and equality through local, regional and national engagement and collaboration. Its vision is to improve the life chances and opportunities of those who are marginalised in society, living in poverty or in unemployment through community development approaches, targeted supports and interagency collaboration, where the values of equality and inclusion are promoted and human rights are respected. Programme Implementers, with the support of Local Community Development Committees (LCDCs), will target those who are the most disadvantaged and excluded in our society. LCDCs, in conjunction with the contracted Programme Implementers, are required to empower communities to work collaboratively with relevant stakeholders using a broad range of supports and interventions facilitated via the new programme funds. Pobal has been nominated by the Department of the Environment, Community and Local Government (DECLG), which is referred to as Department in this document, to act as its agent with respect to national management and oversight of the programme, including in respect of co-funding under the European Social Fund (ESF). Pobal was mandated to manage the set-up and design of the new social inclusion programme, and drew up the preliminary Programme Framework. Pobal has developed the SICAP requirements which have been agreed with the Department. The Programme has three goals: Goals of SICAP 1. To support and resource disadvantaged communities and marginalised target groups to engage with relevant local and national stakeholders in identifying and addressing social exclusion and equality issues; 2. To support individuals and marginalised target groups experiencing educational disadvantage so they can participate fully, engage with and progress through life-long learning opportunities through the use of community development approaches; 3. To engage with marginalised target groups/individuals and residents of disadvantaged communities who are unemployed but who do not fall within mainstream employment service provision, or who are referred to SICAP, to move them closer to the labour market and improve work readiness, and support them in accessing employment and self-employment and creating social enterprise opportunities. The three SICAP goals contain activities that are focused on the most disadvantaged groups and individuals. Each goal has individual objectives, outcomes and indicators, which are set out in Section 3 of this document. Programme Implementers are required to reflect the broad scope of the three SICAP goals in their approaches and actions. This involves engaging with marginalised communities and a wide range of service providers using an integrated and community development approach to address issues relating to social exclusion and inequality. In addition, Programme Implementers will support individuals from the target groups to participate in and progress through life-long learning opportunities, and move individuals closer to the labour market by supporting them to access different types of employment. 5

7 Whilst operating within a national programme framework, the programme affords sufficient local flexibility to Programme Implementers to be able to respond to local priorities. Individual communities throughout the country have particular needs and circumstances may differ considerably between them. Thus, while SICAP is a national programme, it has sufficient flexibility to be tailored locally to best meet the needs of disadvantaged areas and target groups. The programme focuses on the synergies to be achieved between it and other national, regional and local strategies for social inclusion, activation and community development. By focusing on potential space for synergies it seeks to reduce the duplication of services and thus ensure greater value for money for the Exchequer. 1.2 Horizontal Themes Horizontal themes relate to the core principles that cut across and have relevance to all areas of Programme Implementers work. SICAP is underpinned by three horizontal themes which relate to the promotion of equality, community development methodologies and collaborative approaches. Horizontal Themes of SICAP 1. Promoting an equality framework with a particular focus on gender equality and anti-discrimination practices; 2. Applying community development approaches to achieve the participation of disadvantaged and marginalised communities in the wider local development context; 3. Developing collaborative approaches with local (through the LCDC) and national stakeholders to improve how mainstream policies and programmes are delivered so that they have a more positive impact on the socially excluded. 6

8 It is important for Programme Implementers to retain a focus on the Programme s horizontal themes and ensure that these are appropriately incorporated within the strategic and annual planning process and also in their engagement with individuals and local community groups. SICAP seeks to promote an equality framework with a particular focus on gender equality and anti-discriminatory practices. Equality is about ensuring individuals or groups of individuals are treated fairly and equally and no less favourably, specific to their needs, including areas of race, gender, disability, religion or belief, sexual orientation and age. Equality work refers to work that can be described as having outcomes which promote a more equal society. SICAP Implementers will have to ensure that equality work is carried out with clients, as well as ensuring it is also reflected in their own internal practices regarding their employees and relationships with sub-contractors and suppliers etc. As part of the end of year report, Programme Implementers are required to report to the LCDC on the specific measures that are in place to promote the horizontal themes, including the identification of innovative work and practices that address the themes. As part of this process, the LCDC and Programme Implementer will reflect on how the horizontal themes can be further advanced in the next period. 1.3 Timeframe The duration of each SICAP contract is for a maximum of 33 months: 1 st April 2015 to 31 st December Continued funding is subject to a satisfactory annual performance review, which will commence in December each year and be completed by the following January. Please refer to the SICAP contract for further information regarding this. The annual performance review is set out in Section 6 of this document. 1.4 SICAP Funding SICAP is funded by the Department of the Environment, Community and Local Government with co-funding from the European Social Fund (ESF), including a special allocation under the Youth Employment Initiative (YEI). The Department of Education and Skills has primary responsibility for the ESF in Ireland and hosts a dedicated ESF Managing Authority and Certifying Authority, which liaise with the European Commission in respect of the fund. Day to day responsibility for managing ESF co-funding to SICAP rests with the Department. 1.5 EU Funding The ESF for Ireland, under the Programme for Employability, Inclusion and Learning (PEIL) , will contribute co-funding to support individual SICAP participants aged between years over the lifetime of the programme. The ESF includes the Youth Employment Initiative made available as a special allocation to those Member States with a youth unemployment rate in 2012 above 25% and dedicated to young people not in employment, education or training (NEETs). Appendix 1 to this document further explains and situates the ESF in Ireland as part of the European Structural and Investment Funds (ESIF) In 2015, the YEI will co-fund SICAP programme participants aged years who are not in employment, education or training (NEETs). The national definition of eligibility for YEI (NEETs) has been agreed between the ESF Managing Authority and the European Commission and is detailed in Appendix 1. As a new initiative, the European Commission will evaluate the YEI initiative on the strength of results achieved and has given YEI specific indicators which must be collected. From 2016, all SICAP participants aged between years and corresponding to the SICAP target groups are eligible for remaining ESF co-funding. 1.6 Defining Roles in the Operating Structure SICAP will be delivered through a new framework for local development. Thus, it is important to define the roles of those organisations that have a formal role in the operation of the programme. A diagram illustrating the operating structure for SICAP is provided in Figure 1. 7

9 The Department of the Environment, Community and Local Government The Department is the lead and funding department for SICAP, including in respect of ESF co-funding and the YEI special allocation. The Department will channel funding directly to LCDCs. Local Community Development Committees LCDCs will undertake the role of the Contracting Authority to manage and administer SICAP at a local level and will direct funding to the Programme Implementer. As the Contracting Authority, the LCDC is the key decision maker at a local level and will have responsibility for monitoring Programme Implementers compliance in respect of financial management and performance monitoring. The LCDC will also have responsibility for decision-making at a local level in respect of the annual performance review and the annual planning process (Section 6). Programme Implementer The Programme Implementer will operationalise the SICAP Action/Annual Plan and report directly to the LCDC on actions, targets and financial reporting. The contract between the LCDC and Programme Implementer sets out in full the contractual conditions. In cases where the delivery of SICAP is through a consortium arrangement, the Programme Implementer identified as the prime contractor in the procurement process, will have overall responsibility for the performance of the contract. The LCDC will liaise directly with the nominated contact on all matters relating to the programme, irrespective of whether the tasks are undertaken by a consortium member and/or sub-contractor. Local Authority The relevant Local Authority will also be a party to the contract with the Programme Implementer. The Local Authority will (inter alia) administer the SICAP bank account and issue payments to the Programme Implementer, subject to the approval of the LCDC. Pobal Pobal will provide a national oversight role in respect of the SICAP programmatic and operational requirements and provide the Department with regular county, regional and national programme progress reports. Pobal will undertake a technical review of the financial reports, monitoring reports and annual plans, submitted by Programme Implementers (via the IRIS on-line system), to ensure compliance with the SICAP framework, financial rules and the monitoring of all performance targets. Pobal can recommend any necessary actions to the Department and/or the LCDC/Local Authority where issues and concerns relating to the management and delivery of SICAP are identified. Pobal will provide capacity building supports to LCDCs to assist in the strategic planning process and in delivering and evidencing quality standards in the programme. This will involve providing some ongoing technical support to Programme Implementers locally, as well as thematic working, dissemination and sharing of best practice to support the delivery of the SICAP goals and objectives. 8

10 Figure 1: SICAP Operating Structure 9

11 Section 2: Approaches to Tackling Disadvantage and SICAP Beneficiary Groups 2.1 Adopting a Dual Approach to Tackling Disadvantage To deliver a real and positive impact, SICAP will support a broad range of target groups who are disadvantaged and marginalised in our society and unable or unlikely to access mainstream supports. The selection of target groups to benefit from SICAP has been broadly informed by the current socio-economic context. All beneficiaries of the programme must belong to a SICAP target group. SICAP adopts a holistic approach to promoting social inclusion and reducing poverty by recognising that patterns of disadvantage may be present within particular groups and also on a spatial basis. The Programme targets both communities of need (area-based) and individuals of need (issue-based). However, communities living in disadvantaged areas are a particular focus and for this reason it is a requirement that at least 50% of the SICAP caseload, for individuals and local community groups, must reside in disadvantaged areas. See Section 2.3 on area-based approaches for more information on this. A number of target groups who are at a higher risk of social exclusion have been prioritised, as well as individuals who are living in disadvantaged areas. The specific target groups are outlined below with greater detail provided in Section 2.4: Children and Families in Disadvantaged Areas Lone Parents NEETs Young people aged years who are not in employment, education or training (see Appendix 1) New Communities - including refugees/asylum seekers People living in Disadvantaged Communities People with Disabilities Roma The Unemployed - including those not on the Live Register Travellers Young unemployed people living in disadvantaged areas Further information on programme beneficiaries is also included in Section 4: Monitoring. Many SICAP beneficiaries will experience multiple disadvantage across a number of indicators, for example, low levels of education, distant from the labour market, poor health and well-being, inadequate housing, lack of access to public services. Programme Implementers should also be cognisant of individuals who experience double disadvantage i.e. someone who is a member of two target groups, for example, a member of the Roma community who has a disability. 10

12 Given the significant level of diversity and challenges facing local communities across Ireland, SICAP has been designed to provide sufficient flexibility for Programme Implementers to target elements of the programme to particular groups and issues within its operation area, from within the identified target groups. It is important to stress that the programme is unable to, and is not expected to, provide a response to the issues and barriers faced by all individuals living in our communities. The key to the effectiveness of a social inclusion programme like SICAP is that it remains firmly targeted at disadvantaged groups. Indeed, as research has found (e.g. Fitzpatrick (2007), Value for Money Review LDSIP ) as soon as there is slippage into the general population, who are served by existing mainstream supports and services, the risk is that a programme becomes dysfunctional and simply duplicates and competes with existing services. SICAP is cognisant of the fact that an existing array of national and local programmes and initiatives are already being funded which work with other target groups. The programme will be complementary to these existing measures and services. 2.2 Primary and Secondary Target Groups For the purposes of the annual SICAP Action Plan, Programme Implementers must identify one primary target group and one secondary target group for each action, if applicable, from the agreed SICAP target groups. The primary target group relates to the group of people that the action is primarily focused on. The secondary target group will comprise others who will also take part but are not the exclusive or main focus of the action. 2.3 Area-based Approach High levels of deprivation and social exclusion, both hidden and visible, exist in rural and urban areas throughout the country. Programme Implementers are required to adopt an area-based approach to tackling disadvantage. They are expected to use Pobal Maps and the Pobal HP Deprivation Index in order to identify the greatest concentrations of disadvantage in the catchment area of a Lot. SICAP services should be directed to areas within a Lot that are designated as: Disadvantaged (between -10 and -20) Very Disadvantaged (between -20 and -30) Extremely Disadvantaged (<-30). Focusing on spatial disadvantage allows Programme Implementers to target groups which are experiencing a form of disadvantage but who are not one of the designated issue-based target groups. For instance, a local community group that is not comprised of representatives from a SICAP target group may be supported under goal 1 on the basis that they are from a geographical area which has been defined as disadvantaged and the issue affecting them relates to social inclusion and equality promotion. At least 50% of the SICAP caseload, for individuals and local community groups, must reside in disadvantaged areas which are within the Pobal HP Deprivation Bands of Disadvantaged, Very Disadvantaged or Extremely Disadvantaged. The level of disadvantage can be ascertained using Pobal Maps and the HP Deprivation Index user guides for both are available on the Pobal website, and an overview of both follows. 11

13 Resources for Targeting Actions Overview: The Pobal HP Deprivation Index (2011) The Pobal HP Deprivation Index is a method of measuring the relative disadvantage of a particular geographical area using data compiled from the 2011 Census. The country is split into approximately 18,400 small areas with a consistent size of 100 households, and each area is given a relative index score, ranging from -35 (being the most disadvantaged) to +35 (being the most affluent). Three sets of indicators are used to calculate the relative index score: Demographic Profile is predominantly concerned with rural affluence/deprivation and includes indicators such as the percentage increase in population over the previous five years, the percentage of population aged under 15 or over 64 years of age, the percentage of population with a primary school education only, and the percentage of population with a third level education. Social Class Composition is of equal relevance to both urban and rural areas. Some of the indicators included are the percentage of households headed by professionals or managerial and technical employees including farmers with 100 acres or more, the percentage of households headed by semi skilled or unskilled manual workers, including farmers with less than 30 acres, and the mean number of persons per room. Labour Market Situation is predominantly, but not exclusively, an urban measure. It is measured by indicators such as the percentage of households with children aged under 15 years and headed by a single parent, the male unemployment rate and the female unemployment rate. Small Areas Moving away from Electoral Divisions and towards the new small areas marks a major advance. The Small Area Population Statistics (SAPS) of the 2011 Census of Population has been released at the level of 18,488 small areas (SAs) an increase from 15,383 as per the previous index. In this new census geography, SAs are standardised in size, with a minimum of 50 households and a mean of just under 100, thus effectively providing street level information on the Irish population. The HP Index is the only deprivation index in Ireland to have implemented the new small area census geography using both the 2006 and 2011 census data in a consistent manner. SICAP specific Lot boundaries have also been created on the Deprivation Index making it possible to run analysis to this scale. 12

14 Pobal Maps The Deprivation Index, especially when used to the more accurate small area level, requires a visual representation to become a useful tool for area targeting. Pobal Maps provides this resource by offering a free online geographical information system, with a colour coded map in order to maximise the identification of disadvantaged areas. The reporting function on Pobal Maps provides detailed analysis of local areas. Users may run a report for just one small area, or a specific cluster of small areas, or indeed larger reports up to Local Authority level. The results provide not just the deprivation scoring at all levels, but also a range of other key census data. The Pobal Census Reporting Tool (2011) is available on the Pobal website and is free to use. It allows users to run thematic reports from the latest census to a number of different boundary levels. Users can run multiple themes simultaneously in order to cross reference the data. For example, a user may run a report with information on family units in their area, whilst also including data on unemployment. Results are then provided to Electoral Division or small area and a results table can be downloaded for easy analysis. Trutz Haase provides area profiles based on the Deprivation Index for each Local Authority area. These reports offer further analysis of each area based on indicators used to construct the relative index score. The All-Island Research Observatory offer census mapping to Local Authority level. This provides colour coded maps covering all the census themes, plus accessibility such as access to health services and transport. The Gaeltacht The existence of Gaeltacht areas where Irish lives as a community language is an important cornerstone in the building of a bilingual society in Ireland. The Gaeltacht areas are defined in various Statutory Instruments i.e. the Gaeltacht Areas Orders The Gaeltacht Act 2012 sets out the statutory basis for a range of developmental and planning measures which have as their strategic objective the maintenance and development of the language community within the Gaeltacht. The Act supports a significant new policy departure which relates to the formalisation and legitimisation of language planning at community level and which is based on a partnership model between the State and the Gaeltacht communities. Under the Gaeltacht Act, Údarás na Gaeltachta is charged with the implementation of the Government s 20-Year Strategy for the Irish Language in the Gaeltacht. It is responsible under the Act for supporting communities to prepare and implement language plans in 13

15 the 26 Gaeltacht Language Planning Areas and in Gaeltacht Service Towns located in the Gaeltacht. Under the Gaeltacht Act, Foras na Gaeilge is responsible for supporting communities to prepare and implement language plans in Gaeltacht Service Towns located outside the Gaeltacht and in Irish Language Networks outside the Gaeltacht. It is essential that community and language planning initiatives provided for under the Gaeltacht Act can be dovetailed with the delivery of other State programmes in Gaeltacht areas. In this context the specific provisions of the Planning and Development Act 2000 are worth noting as they reflect the importance that the Oireachtas has attached to protecting the integrity of the Gaeltacht. The following provisions of the Act are of particular relevance: Section 10 (2) (d) reference to social, economic and cultural development generally Section 10 (2) (m) specific reference to Gaeltacht areas Section 19 (1) (a) Local Area Plans for Gaeltacht areas Section 20 (2) the need to consult Údarás na Gaeltachta (regional development body for the Gaeltacht) Section 23 (4) (c) the making of Regional Planning Guidelines which affect the Gaeltacht. The successful implementation of this policy initiative requires an agreed co-ordinated approach between public bodies in addressing the specific and differentiated development requirements of the Gaeltacht. This issue is particularly relevant to the Department in respect of the delivery of community and local development initiatives under SICAP and any other such programmes. With regard to SICAP, it should be noted that the Department have facilitated representation by Údarás na Gaeltachta on most of the LCDCs that have Gaeltacht areas under their remit. Specifically, LCDCs/Local Authorities with Gaeltacht areas under their remit are requested to: Recognise the particular community and linguistic dimensions which are crucial for the sustainable development of the Gaeltacht in the preparation, planning and delivery of the programme. Identify the Gaeltacht as a specific language area in the delivery of the programme and ensure that the programme is structured in such a way as to explicitly support the implementation of the Gaeltacht Act. Having the Gaeltacht areas subsumed within an overall county-wide structure will undermine the efforts which need to be undertaken to establish an integrated social, community and linguistic model for integrated development within the Gaeltacht. Ensure that the programme is delivered through Irish and in accord with the Government s Irish language initiatives in Gaeltacht areas. Take due cognisance of the language planning process, particularly in Gaeltacht areas, with regard to the policy measures and the delivery of programmes. The one size fits all approach is not suitable to Gaeltacht areas which have a unique fragile linguistic component which must be borne in mind. Consult Údarás na Gaeltachta and ensure that either Údarás, or a community development group funded by them, be considered as an implementation partner for the delivery of the programme in Gaeltacht areas. Údarás can, where necessary, assist Gaeltacht communities to develop appropriate partnerships. The successful implementation of these operational guidelines for the Gaeltacht will support the implementation of local language plans in a linguistically informed manner and will reinforce the cumulative effect of different funding programmes within the Gaeltacht. 2.4 Issue-based Target Groups In the Social Inclusion and Community Activation Programme, an issue-based target group is a group of individuals who experience social disadvantage as a result of a particular theme or issue which is common between them e.g. unemployment, disability, migration. 14

16 The priority target groups under SICAP are outlined in the table below. The Training Guide to Completing the Individual Registration Form give more detailed information on a number of the target groups outlined below. Children and Families in Disadvantaged Areas Families with dependent children and/or young people who are living in a geographical area that is categorised as disadvantaged, very disadvantaged and extremely disadvantaged, according to the Pobal HP Deprivation Index. For the purpose of SICAP, children are defined as being under the age of 15. Engagement with this target group is relevant to goal 1 (LCGs only) and goal 2 (Children), where the predominant focus is on the child s well-being and development by either working directly with the child and their parents/guardians on early intervention and family support. The reporting requirements for this group require that the number of children who are supported is counted only. Lone parents An individual who is living in a single adult household and raising dependent children and/or young people on their own. A lone parent may be a single parent or someone who is separated, divorced or widowed. New Communities - including refugees/asylum seekers New communities includes migrants experiencing socio-economic disadvantage, refugees and asylum seekers who are from other EU member states or outside the EU and are resident/living in Ireland. People living in Disadvantaged Communities Individuals who are living in a geographical area that is categorised as disadvantaged, very disadvantaged and extremely disadvantaged, according to the Pobal HP Deprivation Index. This provides an opportunity to target specific groups within a disadvantaged area who may be marginalised and experience social exclusion on the basis of a particular issue e.g. prisoners/ex-prisoners; drug/alcohol misusers; homeless people; lesbian, gay, bisexual and transgender people. Supporting non-target groups that experience some form of socio-economic disadvantage or inequality is reserved for goal 1 only. In this case, LCGs will be the beneficiary type supported under the remit of goal 1. People with Disabilities The understanding of disability is broad and draws on a number of recognised national and international definitions. The Disability Act (2005) defines disability as a substantial restriction in the capacity of the person to carry on a profession, business or occupation in the State or to participate in social or cultural life in 15

17 the State by reason of an enduring physical, sensory, mental health or intellectual impairment. SICAP also promotes a wider definition 1 of disability that acknowledges the broader socio-economic complexities relating to disability which highlight the environmental and social barriers. Roma Due to the multifaceted nature of the Roma identity there is no common EU definition relating to Roma people. For the purposes of SICAP, Roma people are part of the international Roma community which is made up of diverse groups throughout the world. As a minority group, the Roma people do not have an exclusive nation or homeland but share a common ancestry of origin, history and culture. Roma people will face many issues commonly experienced by Travellers but both communities will have distinct and separate needs that will require collaborative and distinct methodologies. An individual can be recorded as a member of the Roma community as part of the beneficiary profile and through the questions relating to ethnic identification. The Unemployed - including those not on the Live Register The unemployed includes individuals who are; usually without work; those who are available for work and those actively seeking work. In the context of SICAP, the unemployed includes individuals who are registered as unemployed i.e. on the Live Register, and those who are not on the Live Register e.g. people who are at home full-time who may have caring responsibilities, or who are no longer actively seeking employment. Programme Implementers should prioritise engagement and actions to the long term unemployed and those with lower levels of educational attainment. Long term unemployment is defined as being on the Live Register for more than one year continuously. Travellers The Equal Status Act (2000) defines Travellers as a community of people who are identified both by themselves and others as having a shared history, culture and traditions, including a nomadic way of life on the island of Ireland. Irish Travellers are a people with a separate identity, culture and history, although they are as fully Irish as the majority population. An individual can be recorded as a member of the Traveller community as part of the beneficiary profile and through the questions relating to ethnic identification. Young unemployed people living in disadvantaged areas This encompasses young people, aged years, who are living in a geographical area that is categorised as Disadvantaged, Very Disadvantaged and Extremely Disadvantaged, according to the Pobal HP Deprivation Index. NEETs Young people aged years who are not in employment, education or training Young people aged years and not in employment, education or training (NEETs) have been selected for particular support under the ESF and will receive a special allocation under the Youth Employment Initiative in This special allocation has been made to EU Member States with a youth unemployment rate in 2012 above 25%. National eligibility criteria are established for the YEI special allocation to the SICAP and can be read in full at Appendix 1. Programme Implementers are not required to engage with and directly offer services to all of the target groups. However, if there is a well-evidenced and unmet need to provide a service to a specific SICAP target group within a particular area, this should be reflected in the Programme Implementer s actions. Furthermore, there is no 1 For example, the World Health Organisation defines disability as an umbrella term covering impairments, activity limitations, and participation restrictions. An impairment is a problem in body function or structure; an activity limitation is a difficulty encountered by an individual in executing a task or action; while a participation restriction is a problem experienced by an individual in involvement in life situations. 16

18 requirement for all SICAP beneficiaries to belong to one of the designated target groups and come from a disadvantaged area. Therefore, a Programme Implementer may direct services to individuals within a SICAP target group who are not living in a disadvantaged area. Programme Implementers should however, prioritise engagement and work with target groups from within disadvantaged areas particularly where there is strong local evidence to suggest unmet needs. 2.5 Age Categories SICAP is primarily focused on people who experience disadvantage and social exclusion and who are of working age (15-65 years). However, the programme is also cognisant of the importance of a life-cycle approach when seeking to reduce the disadvantage and poverty that people face at different stages of their lives, as set out by the National Economic and Social Council in The Developmental Welfare State (2005). Many of the actions that will be carried out as part of the programme, particularly under goal 1, will cut across various stages of the lifecycle e.g., a LCG in a disadvantaged area that is comprised of older people or a LCG providing supports to children and families in disadvantaged areas. The programme also requires LCDCs and Programme Implementers to pay particular attention to young people (15-24 years) who are experiencing unemployment. Young people have been hit hardest by the economic downturn - particularly the 20 to 24 age cohort who have experienced the highest levels of joblessness. There is a risk that continued unemployment can lead to lasting scarring effects and affect the employment and life chances of a young person for decades to come. Certain sub-groups of youth unemployed are at particular risk and will receive a specific support. The YEI special allocation to SICAP in 2015, for example, is dedicated solely to those young people defined nationally as NEETs and aged years (see Appendix 1). From 2016, remaining ESF co-funding will be available to all eligible SICAP participants aged between years. Consent is required from individuals on the caseload in order to capture their date of birth. This information is particularly necessary to ensure compliance with ESF co-funding monitoring requirements regarding the eligibility of participants aged More information is provided on the registration process in Section

19 Section 3: The SICAP Framework and Client Engagement The Social Inclusion and Community Activation Programme aims to tackle high and persistent levels of unemployment and associated deprivation, and to do this through targeted and innovative locally-led approaches. SICAP allows for an innovative, bottom-up and local development approach within the framework of a national programme with nationally set targets and performance indicators. As evident from the three programme goals, SICAP has a broad scope and goes beyond focusing on just one outcome, such as getting people into jobs. The task of Programme Implementers will be to reflect this broad scope and approach in their actions. They will be expected to engage with marginalised communities and a wide range of service providers using an integrated and community development approach to address issues relating to social exclusion and inequality, support individuals from the target groups to participate in and progress through life-long learning opportunities, and move individuals closer to the labour market and support them in accessing different types of employment. Each programme goal has defined requirements and guidelines, and all are shaped by the three horizontal themes outlined previously. Whilst the three goals can be considered independently, it is important that the interdependencies between them are identified in order to create opportunities for disadvantaged communities which maximise the effectiveness of the programme as a whole and benefit from its synergies. The section below considers each of the three goals in SICAP in turn and explores what outcomes Programme Implementers should be working towards. A SICAP framework is given for each objective and its accompanying outcomes, programme indicators and (in most cases) headline indicators which will be used to demonstrate the achievement of the outcomes and programmatic impact. More information is provided on indicators in the next section, Section 4: Monitoring. 3.1 Goal 1: Empowering Disadvantaged Communities To support and resource disadvantaged communities and marginalised target groups to engage with relevant local and national stakeholders in identifying and addressing social exclusion and equality issues. The Goal Objectives Goal 1 consists of four objectives which reflect the key dimensions of a community development approach. These are: Goal 1 Objectives Objective G1.1: To support and promote the community engagement of disadvantaged target groups across the life-cycle; Objective G1.2: To support the development of local community groups which promote equality and social inclusion in a local, regional or national context; Objective G1.3: To support disadvantaged communities and individuals to enhance their participation in local, regional and national decision-making structures; Objective G1.4: To develop and facilitate strategic collaborative frameworks and networks as part of a dialogue for developing solutions to social exclusion. 18

20 Overview Goal 1 of the Social Inclusion and Community Activation Programme aims to empower disadvantaged communities and individuals to play a greater role with other stakeholders in addressing social inclusion and equality issues. It is underpinned by a community development approach and is in line with the emerging policy context which emphasises the importance of citizen engagement. The goal reflects the guiding principles of community development 2 and sets as an objective the need to support and promote the community engagement of disadvantaged communities and individuals across the life-cycle. As such, it is concerned with the principles of participation, empowerment, capacity building, collective action and decision-making in a structured way. See the box below for how local community groups are defined in SICAP. The primary beneficiaries of goal 1 will be local community groups (rather than individual clients) that have an established remit in working with the primary target groups, and individuals in roles of responsibility in these community groups, such as committee members for example. The Social Inclusion and Community Activation Programme has emerged from other local development 3 and community development programmes stretching back to the 1990s. Over that time a significant level of work has been undertaken in conjunction with a wide variety of local community groups which are either area-based or issue-based, or both. Engagement with these groups will continue under SICAP. By concentrating efforts on engaging with local community groups which represent and/or are comprised of the programme target groups, there should also be more active engagement by individuals from these target groups in the two other SICAP goals. How are the local community groups of particular relevance to SICAP defined? SICAP aims to work with local community groups operating out of community work principles and processes and focussed on the needs of SICAP target groups. Supported community groups should be: a) focussed on and inclusive of the target groups of the programme; b) committed to the achievement of social inclusion and equality; c) composed of the target group and, as appropriate, those working in solidarity with the target group; d) engaged in collective analysis and action; and e) committed to the empowerment of the target group. However, SICAP Implementers will also need to engage more significantly with groups which historically have been under-represented in activities relating to social inclusion and equality, life-long learning and labour market preparation. In addition, a primary role of delivery bodies in SICAP should be to help coordinate the provision of services so they better meet the needs of their target groups. Programme Implementers will need to work with local community groups to increase their engagement in community development issues, and assist them in linking in with SICAP target groups to bring about greater participation in social, cultural and civic activities. Objective 1.2 seeks to support the development of these local community groups which promote equality and social inclusion in a local, regional or national context. The emphasis here should be to build the capacity of 2 Community development is a developmental activity composed of both a task and a process. The task is the achievement of social change linked to equality and social justice, and the process is the application of the principles of participation, empowerment and collective decision making in a structured and coordinated way. Pobal (2011), LCDP Guidelines. 3 Local development is defined as the collective effort of a community to improve local, social and environmental conditions, it provides an opportunity for each of the three sectors (community, statutory agency and social partner) to act together for the benefit of the area. ADM (1995), Integrated Local Development Handbook. 19

21 groups and facilitate their progression along the community development matrix which comprises four stages see graphic below. This will make them more effective organisations and will mean they are more able to address the needs of the disadvantaged communities which they represent. Community Development Matrix The community development matrix sets out structured progression paths using the following development models: Pre-development and group formation; Capacity building and empowerment; Collective action; Strategic involvement in policy and decision making processes at a local, regional and/or national level. This matrix provides a benchmark against which the development of the groups can be assessed. The first stage necessitates pre-development work, the second indicates the need for enhanced capacity, the third is about collective action, and the fourth points towards agenda-setting strategic work. An objective within goal 1 is to support disadvantaged communities and individuals to enhance their participation in local, regional and national decision-making structures. Decision-making structures are local, regional or national decisions making structures which require input from different sectors with a common goal to address social exclusion and disadvantage. By being able to participate more in the key decision making structures, whether these be local councils or boards of Public Participation Networks, the desired outcome is that SICAP target groups will be in a real position to affect change in their locality which can improve their lives and their sense of empowerment. A further objective is to develop and facilitate strategic collaborative frameworks and networks as part of a dialogue for developing solutions to social exclusion. Strategic collaborative frameworks and networks are defined as formal or informal meetings between community activists/community groups with a common interest. The purpose of the networks is to share experiences, develop support mechanisms, identify good practice or develop policy positions and common strategies and they may or may not be formally structured. By having these types of networks and frameworks between local community groups and service providers in place, this will result in local level initiatives which can better address the problems of social exclusion and inequality for that particular locality. Any actions taken under the objective should reflect the tender submission of Programme Implementers regarding networking structures with key stakeholders (Criterion 3). 20

22 OBJECTIVE G1.1: To support and promote the community engagement of disadvantaged target groups across the life-cycle Outcomes Headline Indicators Programme Indicators G1.1.1 Local needs are more fully identified, coordinated and represented through more meaningful area-based planning and service delivery: this includes groups which had not been previously engaged. G1.1.2 Increased engagement by local community groups in community development issues relating to social inclusion and equality. G1.1.3 Local community groups work with SICAP target groups to bring about increased participation in social, cultural and civic activities. 1. No. of local community groups that are assisted under SICAP in Goal 1 (QN) by type of community groups if: *please note a minimum of 2 interventions is required within the current year Primarily issue-based or area-based If issue-based, issue for which they are advocating If area-based, spatial area which they are representing 1. Level of involvement 4 by local community groups in the identification of local needs by means of strategies and plans etc. (QL) 2. The extent to which community groups consider that they have greater knowledge of local needs as a result of their participation in SICAP e.g. by participating in local area profiles etc. (QL - follow up survey) 3. The extent to which community groups consider that they are more engaged in local issues, in coordinating responses and in representing these (QL) 4. The extent to which local fora such as Local Authority SPCs, PPNs etc. consider that they are more engaged and aware of social inclusion and equality issues in their area. (QL) 5. No. of non-caseload adults and children assisted by local community groups in participating in social, cultural and civic activities (excluding activities carried out in Goals 2 and 3) (QN) 4 Level of involvement defined as: Extremely involved - lead role/initiating role; Very involved active participant in the process; Somewhat involved general participant in the process; Not involved. 21

23 OBJECTIVE G1.2: To support the development of local community groups which promote equality and social inclusion in local, regional or national context Outcomes Headline Indicators Programme Indicators G1.2.1 Local community groups are supported to become more effective organisations in working to promote social inclusion and equality. G1.2.2 Local community groups have greater capacity to address the needs of the disadvantaged communities which they represent. There are no headline indicators for this Objective. 1. No. of local community groups receiving supports from SICAP to assist in their formation, development and progression (QN) by: The types of supports Their stage in the structured progression path of development model 5 No. of individuals represented/assisted by these local community groups e.g. membership of LCG 2. No. of local community groups considered to have progressed using the structured progression path of development model (QN) 3. No of local community groups assisted by SICAP to leverage funding by: (QN) Amount of levered funding Directly i.e. help local community groups to draw down money/manage it for them/audit Indirectly 5 Structured progression paths using the following development models: Pre-development and group formation; Capacity building and empowerment; Collective action; Strategic involvement in policy and decision making processes at a local, regional and/or national level. 22

24 OBJECTIVE G1.3: To support disadvantaged communities and individuals to enhance their participation in local, regional and national decisionmaking structures Outcomes Headline Indicators Programme Indicators G1.3.1 SICAP target groups have greater representation and participation in decision-making structures at a local, regional and national level, and as a result can more strongly influence local developments that affect their lives. 1. No. of local community groups whose members have been assisted by SICAP to participate in local, regional or national decision-making structures (QN) by: Level of involvement Type of involvement e.g. EU/international structure, information sharing, local structure 1. Perception of SICAP local community groups on how their level of participation in decision-making structures and strategic frameworks has altered as a result of their involvement in SICAP (QL) 2. No. of local community groups participating in annual planning and review processes for SICAP (QN) 3. Level of involvement by SICAP Implementer in decision-making structures (QN/QL) 4. No. of local community groups supported into a PPN (QN) 5. No. of decision making structures (Structures & Networks) that SICAP target groups are represented on i.e. Programme Implementer Board of Management, Strategic Policy Committees (QN) 23

25 OBJECTIVE G1.4: To develop and facilitate strategic collaborative frameworks and networks as part of a dialogue for developing solutions to social exclusion Outcomes Headline Indicators Programme Indicators G1.4.1 Strengthened collaborative networks and frameworks between local community groups and service providers which result in initiatives that more effectively address social exclusion and inequality at a local level. There are no headline indicators for this Objective. 1. Level of engagement between local service providers/agencies and local community groups on initiatives supported by SICAP Implementers which promote social inclusion e.g. disability awareness, debt management (QL/QN) 2. Evidence of collaboration/joint activities between local service providers/local community groups/other statutory and key providers e.g. employers, schools, health professionals, ETBs (QL) 3. No. of local community groups supported to put antidiscrimination and equality measures in place (QN/QL) 4. No. of public services supported to put antidiscrimination and equality measures in place (QL) 5. Perception of local community/target groups whether initiatives developed by local community groups/local service providers/other statutory and key providers have responded to gaps in service provision (QL) 24

26 3.2 Goal 2: Lifelong Learning To support individuals and marginalised target groups experiencing educational disadvantage so they can participate fully, engage with and progress through life-long learning opportunities through the use of community development approaches. The Goal Objectives Goal 2 consists of four objectives. Goal 2 Objectives Objective G2.1: To identify and provide information on learning supports available to individuals experiencing educational disadvantage; Objective G2.2: To support individuals from target groups experiencing educational disadvantage to participate in life-long learning opportunities; Objective G2.3: To provide supports to children and young people from target groups who are at risk of early school leaving and/or not in employment, education or training (NEETs); Objective G2.4: To influence the development of local decision making structures and networks so that they better address barriers to learning and enhance local learning systems for people experiencing educational disadvantage. Overview Goal 2 seeks to support individuals who are experiencing educational disadvantage to engage with and progress through life-long learning opportunities, 6 using community development approaches. As a first step there is a recognition that people who have a low level of education or skills often need help in understanding what supports are available and what their various pathways into education and learning are. An objective of the programme is that Programme Implementers work with SICAP clients on providing this information. The next steps may be to provide those individuals with supports in the shape of an education or training course. This could be, for example, a part-time or full-time training programme, an action delivered in partnership that promotes educational equality, or an initiative in a DEIS school to prevent early school leaving. This education and training provision can be distinguished from a goal 3 training programme in that it is not primarily intended to lead to employment in the short-term. However, there is scope to design or make available specialised education initiatives to plug any identified gaps in employment provision. 6 A life-long learning opportunity is defined by the European Commission (2001) as all learning activity undertaken throughout life, with the aim of improving knowledge, skills and competencies within a personal, civic, social and/or employment related perspective. According to the EU resolution on a Renewed Agenda on Adult Learning in 2011 lifelong learning covers learning from pre-school to post retirement (European Commission, 2011). 25

27 An individual receiving support under this goal may be in need of an education-focused service rather than employment supports due to a wide range of personal barriers such as a low level educational attainment, family situation, or residency status etc. Services provided under SICAP goal 2, primarily by the education specialist in this instance, could also play a valuable role in preparing people for further education and training via pre-support work for those not ready to commence or complete a validated course, with pre-support work serving as the first step to progression within the education continuum. The Social Inclusion and Community Activation Programme includes an emphasis on ensuring that clients benefit from validated programmes of learning and/or industry certified training. Programme Implementers must ensure that at least 15% of life-long learning supports taken up by clients under goal 2 are validated (by Quality and Qualifications Ireland or equivalent) or are industry certified. Providers can reach this figure either through providing validated courses in-house or by referring individuals to organisations which run validated programmes. Initiatives and actions carried out under goal 2 are expected to contribute towards the provision of community education locally. Community education facilitates access to life-long learning opportunities provided in people s own communities and can be a building block in accessing more formal education opportunities or set people on the pathway to work. It is associated with working with people to provide basic literacy and numeracy skills. Community education has become a critical access point for individuals who are early school leavers or who are experiencing social and economic disadvantage. However it is also about empowering people to develop confidence, to feel included, to enhance their skills and thereby to engage more effectively with the labour market. The Further Education and Training Strategy (DES) identifies as a primary focus the need to provide skills as a driver of social inclusion and social mobility. In addition, the goal 2 narrative is focused on disadvantaged children and young people who are still in education, and NEET youth. It contains a preventative focus by requiring Programme Implementers to work with children under 18 who are at risk of early school leaving, as acting after a young person has left the system can often be too late. Concurrently, there should also be initiatives and interventions aimed at those young people who have already disengaged from the school system, led by the education and youth specialists. Consequently, SICAP Programme Implementers will be expected to run a whole series of activities such as in-school programmes in primary and secondary schools, funding breakfast clubs, carrying out after-school youth work initiatives, holding summer camps. Such types of activities can work towards preventing and reducing early school leaving, encouraging young children who have left the school system to return, and assisting with the transition to further education or training, or into a job. Close engagement with the parents/guardians of children may be required. Programme Implementers must also work towards bringing about more co-ordinated and joined-up approaches to learning-related service planning locally, and having in place an effective referrals system which ensures that individuals in need of life-long learning help are directed to the right place. This could be evidenced through improving existing partnerships and strategies or improving referrals systems with other education providers, or by putting in place new partnerships or joint programmes to fill a gap in existing provision. 7 Any actions taken under the objective should reflect the tender submission of Programme Implementers regarding networking structures with key stakeholders (Criterion 3). Goal 2 Programme Framework The table below lists the five programme indicators which apply to all four objectives in goal 2 these are not specific to any one objective. 7 Programme Implementers should note requirements for recording results of YEI participants who are in receipt of a training or other intervention as part of another ESF co-funded operation. See Section 5 below. 26

28 Programme Indicators 1. No. of individuals registered with SICAP who are deemed to require education supports in the first instance (QN). This information is automatically collected when an individual is linked to a goal 2 action. 2. No. of individuals referred to SICAP by statutory agencies and relevant organisations for assistance with lifelong learning e.g. Intreo, ETB, schools, Youthreach, CTI, CTC (QN). This information is collected in the registration process under How Did you Hear About SICAP field. 3. Satisfaction levels of individuals receiving supports under Goal 2 regarding the quality of supports received by them (QL). 4. No. of individuals registered with SICAP who are referred to other services which impact on accessing LLL e.g. health supports, drug assistance, citizens rights, financial advice, housing provision (QN). 5. No. of individuals who registered with SICAP who are referred to LLL/FET providers e.g. for PLC courses, VTOS, BTEI, adult literacy (QN). 27

29 OBJECTIVE G2.1: To identify and provide information on learning supports available to individuals experiencing educational disadvantage Outcomes Headline Indicators Programme Indicators G2.1.1 People experiencing educational disadvantage from the target groups are better informed of local opportunities for LLL. There are no headline indicators for this Objective. 1. No. of attendees (non-caseload adults and children) at LLL information events held by SICAP Implementer (andnumber of events) (QN). 28

30 OBJECTIVE G2.2: To support individuals from target groups experiencing educational disadvantage to participate in life-long learning opportunities Outcomes Headline Indicators Programme Indicators G2.2.1 Increased participation by people experiencing educational disadvantage in life-long learning opportunities. G2.2.2 Increased progression by people experiencing educational disadvantage along the life-long learning continuum. 1. No. of individuals (aged 15 or over) in receipt of a Goal 2 educational support by (QN): 8 Supports to access LLL (e.g. information and guidance, counselling, access to childcare etc.) Follow up supports to encourage them to remain in LLL course Participation in LLL course (all course details) No. of individuals who have successfully completed the LLL course 70% of those targeted should have educational attainment of Leaving Certificate or lower 2. No. of individuals who have progressed along the education continuum 9 after registering with SICAP Implementer (QN) 10 8 This includes those referred to external education and training providers, and those who take up an education and training opportunity delivered by the SICAP Implementer. 9 Progression along the education continuum is defined as the below: From unaccredited training to accredited training at various NFQ levels; From one NFQ level of accredited training to a higher NFQ level of accredited training; From unemployment/inactivity to part time or full-time education; From unemployment/inactivity to part-time, full-time employment or self-employment; Other. 10 This headline indicator will roll up on the IRIS system via the follow-up information recorded when the individual has completed a course against indicator No. of individuals/young people in receipt of a Goal 2 educational support. The support and output record with the course details is updated and the course outcome and progression is recorded. 29

31 OBJECTIVE G2.3: To provide supports to children and young people 11 from target groups who are at risk of early school leaving and/or are not in employment, education or training (NEETs) Outcomes Headline Indicators Programme Indicators G2.3.1 Increased collaboration between community and statutory stakeholders in developing holistic approaches to address early school leaving. G2.3.2 Greater levels of engagement with children in educational and development work in order to support them in education and development. G2.3.3 Increased number of children and young people who have been identified as at risk of early school leaving are retained within the education system. G2.3.4 Young people not in employment, education or training (NEETs) are given supports and guidance to move them into an education, employment or training opportunity. 1. No. of young people in receipt of a Goal 2 educational support (QN) by: Young people still in school who have been identified as at risk of dropping out Young people who have already dropped out of school but who are not in employment, education or training (NEET) Young people who have completed compulsory education but who are not in employment, education or training (NEET). 80% of those targeted should have educational attainment of Leaving Certificate or lower. 2. No. of children in receipt of a Goal 2 educational or developmental support (QN). Educational supports for young people in school e.g. homework clubs, additional tuition, English language classes Youth work / developmental supports e.g. youth clubs, summer programmes Supports to engage in further education 3. No. of young people who have progressed along the education continuum after registering with SICAP Implementer (QN) No. of children and young people who receive support through SICAP and who were identified as at risk of early school leaving, who remain in school up to Junior Cert Level/Leaving Cert Level (QN) 2. Level of involvement with relevant bodies operating in this arena e.g. schools, teachers, Youthreach (QN/QL) 11 For the purposes of this programme young people are defined as aged 15 to 24 and children are defined as under the age of 15 but may also include year olds who participate in group activities and are not recorded as individuals. The national definition of NEETs is provided in Appendix 1 of this document. 12 This headline indicator will roll up on the IRIS system via the follow-up information recorded when the young person has completed a course against indicator No. of individuals/young people in receipt of a Goal 2 educational support. The support and output record with the course details is updated and the course outcome and progression is recorded. 30

32 OBJECTIVE G2.4: To influence the development of local decision making structures and networks so that they better address barriers to learning and enhance local learning systems for people experiencing educational disadvantage Outcomes Headline Indicators Programme Indicators G2.4.1 Increased and improved joint planning and delivery between service providers and statutory agencies which reduces duplication of education service provision and leads to better identification of gaps in mainstream services. G2.4.2 A more joined-up referrals systems which aids individuals requiring education supports to be able to access the right services. G2.4.3 Plugging identified gaps in employment provision with locally specialised education initiatives. There are no headline indicators for this Objective. Note: Some actions under this objective will be evidenced by the indicators from the other objectives in this goal. 1. No. of new strategies/partnerships/joint programmes (Structures & Networks) in place between SICAP Implementer and education providers which are designed to meet the educational needs of SICAP target groups (QN) 2. Improvements or efficiencies made to existing strategies/partnerships/joint programmes or initiatives that increase access to LLL supports (QL) 3. New/improved referrals systems in place between SICAP Implementer and education providers in meeting the educational needs of the target groups (QL) 4. No. of new specialised LLL programmes/initiatives (Structures & Networks) set up to meet the needs of the target groups which were not being met by existing provision (QN) 5. Perceived effectiveness of SICAP services/initiatives in creating a more joined up LLL eco-system locally to local communities/target groups (QL) 31

33 3.3 Goal 3: Employment To engage with marginalised target groups/individuals and residents of disadvantaged communities who are unemployed but who do not fall within mainstream employment service provision or who are referred to SICAP to move them closer to the labour market and improve work readiness, and support them in accessing employment and self-employment and creating social enterprise opportunities. The Goal Objectives Goal 3 consists of four objectives: Goal 3 Objectives Objective G3.1: To engage with SICAP target groups and youth to move them closer to the labour market and progress them into employment; Objective G3.2: To support SICAP target groups and youth in becoming self-employed and sustaining this; Objective G3.3: To support social enterprises operating in disadvantaged communities in providing services to these communities, and linking people from SICAP target groups to employment opportunities within the sector; Objective G3.4: To influence the development of local decision making structures and networks to ensure more collaborative approaches to tackling labour market barrier and addressing unemployment. Overview The objective of goal 3 is to support marginalised individuals who are not in employment and who do not necessarily fall within mainstream employment service provision, in moving closer to the labour market and progressing into employment. The tables below give the details for each objective in Goal 3, including the broad outcomes which Programme Implementers should be working towards and the accompanying indicators to measure achievement of the outcomes. Please note more information is provided in Section 4: Monitoring. As a first step there is a need to provide information and guidance to ensure that clients are made more aware of different job opportunities and career options, and can consider their options and the pathways that are open to them. This could be done by the employment specialist providing career advice, assisting beneficiaries acquire pre-employment supports such as foundation skills, and working on job-ready supports such as CV preparation, interview skills. In terms of training courses and activation measures, these could cover a wide variety of measures i.e. a four week skills, training or job preparation programme. An employment-orientated training programme is different from a goal 2 educational support in that it is clearly designed to lead an individual to immediate employment and where the person being supported is available for work in the short to medium term. Within the activation component there is a strong emphasis on moving disadvantaged youth closer to the labour market, and participation by young people who are not in employment, education or training (NEETs). 32

34 Any supports and actions should be informed by an understanding of the needs of the local/regional labour market to ensure that those who are assisted in becoming work ready are well placed to be able to avail of existing job opportunities. This will also ensure that job training programmes have currency with local employers. Required is an emphasis on engaging with local employers to identify what their needs are and tailor, perhaps a certain component of provision, to meet demand. There could also be initiatives with local employers on actively promoting certain individuals to them when hiring and encouraging them to think outside the box by taking staff from relatively marginalised groupings in society. Linking in with employers regularly (perhaps via the employment specialist acting in a mediator or convenor role) and consulting with them on employment initiatives, whether they be apprenticeships, traineeships or work placements, will be hugely beneficial in ensuring their relevance to the local labour market. Not only should Programme Implementers be working with people who are not in work, but they may also wish to deliver initiatives for individuals in employment but who are under-employed or in low skilled jobs. The outcome here should be in assisting them in progressing within the labour market into more sustainable, better quality jobs, or from part to full-time employment. A key objective of goal 3 activities is increasing self-employment, and making this a viable and sustainable route for the SICAP target groups, with a particular emphasis on youth entrepreneurship. Programme Implementers should ensure that individuals availing of SICAP supports are made aware of the opportunities for local selfemployment (which may include social entrepreneurship), and receive training to enhance their skills to take up these opportunities. These can be delivered in three distinctive phases; pre-enterprise stage, the start-up stage and the post start-up stage. Entrepreneurship is one of the disruptive reforms set out in the cross-government Action Plan for Jobs and will contribute towards achieving the ambition for Ireland to be among the most entrepreneurial nations in the world. grants and loans schemes. Start-up grants and loans are also available under SICAP to any of the eligible groups. Providing direct financial support can make a significant difference to people at start-up stage by giving them the financial assistance they need to put their ideas into practice. Grants can only be given to start-ups with viable business plans and where the Programme Implementer has deemed the business proposal to be sound and to meet their minimum requirements. Grants could be provided for areas of most need in the early days of set-up such as training, carrying out market research or setting up a website, developing a business plan, purchasing small pieces of equipment for a business, upgrading premises, office supplies and stationary. Programme Implementers may also assist clients to prepare funding proposals for other agencies such as Local Enterprise Offices (LEOs), Micro-Finance Ireland and Clann Credo, thereby developing a strong entrepreneurship eco-system locally. See Section 5: Finance, for more information on the financial and eligibility requirements of the What is a social enterprise? A social enterprise is an enterprise: I. that trades for a social/societal purpose; II. where at least part of its income is earned from its trading activity; III. is separate from government; and IV. where the surplus is primarily re-invested in the social objective. Forfas (2013), Social Enterprise in Ireland: Sectoral Opportunities and Policy Issues 33

35 Objective 3.3 is to support social enterprises. As stated in the Forfas report, social enterprise is a growing enterprise sector than can bring further job gains and deliver economic potential: an estimated 33,000 people in Ireland are employed in the sector (Forfas, 2013). There are over 1,400 social enterprises in Ireland but it is estimated that if Ireland s social enterprise sector were to approach mean EU levels, there could be at least 65,000 social enterprises in Ireland (Forfas, 2013). Very often social enterprises employ those that are most marginalised and who find it most difficult to get jobs, and they are set in both rural and urban communities. They tend to provide local services and have a multiplier effect by enabling the development of other enterprises. 13 SICAP can make a significant contribution towards strengthening Ireland s social economy and simultaneously thereby improving deprived local areas and increasing employment locally bringing additional income generation, job creation and improving quality of life. Social enterprises should be supported to be established, to continue operating and to expand. Programme Implementers should engage in activities with a particular focus on community-led social enterprises and in ensuring that social enterprises in the locality are also well positioned to provide volunteering opportunities for SICAP clients. A certain level of grant funding and access to loans is available under SICAP see Section 5: Finance for more details. Finally, objective 3.4 sets out that Programme Implementers must work to influence local decision-making structures and networks to ensure that measures designed to tackle labour market barriers and joblessness are more collaborative and joined-up. This should lead to the desired outcome of better joint planning between service providers, reduced duplication of employment services, and in different agencies coming together at the local level to identify where the gaps are in mainstream services for SICAP clients and the broader community. It should contribute to a referrals system which is more interconnected and which makes sense i.e. that individuals are directed to the right place to be able to avail of the best services to suit their needs. Programme Implementers shall deal with any referrals to SICAP services received from the Department of Social Protection, Intreo, or any Local Employment Services and Educational and Training Board. They will also co-operate with any referral and reporting protocols which may be agreed by the relevant departments. Any actions taken under the objective should reflect the tender submission of Programme Implementers regarding networking structures with key stakeholders (Criterion 3). Through engaging with other parties which are operating within the employment sphere, it may well become apparent that there are critical gaps in local employment services and training i.e. that there is a demand for a certain skill set by a local employer or sector which is currently not being met. This would be an ideal opportunity for the various parties to come together and develop a joint initiative responding to this gap. Goal 3 Programme Framework The table below lists the five programme indicators which apply to all four objectives in Goal 3 these are not specific to any one objective. 13 The Department of Social Protection funds the Community Services Programme, managed by Pobal, which seeks to support social enterprises in Ireland. The programme gives grants to community businesses that delivery services and create employment for people from disadvantaged groups. It supports some 425 community companies and co-operatives and works on a social enterprise model. See here for additional information. 34

36 Programme Indicators 1. No. of individuals registered with SICAP who are deemed to require employment supports in the first instance (QN). This information is automatically collected when an individual is registered on the caseload against a goal 3 action. 2. No. of individuals referred to SICAP by statutory agencies and relevant employment organisations e.g. Intreo, LES (QN). This will be collected at registration under the How Did You Hear About SICAP question. 3. Satisfaction levels of individuals receiving supports under Goal 3 regarding the supports received by them (QL). 4. No. of individuals registered with SICAP who are referred to other employment activation services e.g. Intreo, LES, JobClub (QN). 5. No. of individuals registered with SICAP who are referred to other services which impact on employability e.g. health supports, drug assistance, citizens rights, financial advice, housing provision (QN). 35

37 OBJECTIVE G3.1: To engage with SICAP target groups and youth to move them closer to the labour market and progress them into employment Outcomes Headline Indicators Programme Indicators G3.1.1 Those most distant from the labour market are more aware of career options and job opportunities and are better prepared to enter the labour market. G3.1.2 Enhanced engagement with local employers to identify employer needs, tailor initiatives to meet these needs, and encourage a more inclusive approach to hiring. G3.1.3 Increased numbers from the target groups are progressed into employment and supported to remain in employment. G3.1.4 The underemployed are assisted to move into more sustainable, better quality employment. 1. No. of individuals/young people in receipt of Goal 3 employment supports by (QN): Career advice and guidance Pre-employment supports e.g. foundational skills Job ready/activation supports e.g. CV prep, interview skills Labour market training and occupational specific skills training: industry certified/accredited/unaccredited (entrepreneurship skills training, youth specific courses etc.) Work placement programmes/preapprenticeship/apprenticeship/traineeships For individuals: 60% of those targeted should have educational attainment of Leaving Certificate or lower For young people: 70% of those targeted should have educational attainment of Leaving Certificate or lower 2. No of individuals/young people progressing to part-time or full-time employment up to 6 months after receiving a Goal 3 employment support by (QN): Job Type Occupational Group No. of individuals/young people still in employment 6 months following the end of the SICAP intervention (QN) 1. No. of attendees (non-caseload adults) at employment information events held by SICAP Implementer (by number of events) (QN) 2. Level of engagement with employers by SICAP Implementers e.g. organise job placements, attend recruitment fairs, provide mentoring for individuals (QL/QN) 3. Extent to which individuals who have received SICAP employment supports feel they are better prepared to enter the labour market as a result of their participation in SICAP (QL) 4. Estimate no. of new jobs created by employers for SICAP clients as a result of engagement with SICAP Implementer (QL/QN) 5. No. of new partnerships/initiatives (Structures & Networks) formed between SICAP Implementer and employers (QN) 35

38 OBJECTIVE G3.2: To support SICAP target groups and youth in becoming self-employed and sustaining this Outcomes Headline Indicators Programme Indicators G3.2.1 Individuals are better informed of local self-employment opportunities (including social entrepreneurship) and have enhanced skills and capacities to avail of these opportunities. G3.2.2 Self-employed individuals can access good quality post-enterprise supports and training to better ensure the sustainability of their business. G3.2.3 Young people are encouraged to consider entrepreneurship as a viable career route and are assisted in setting up their own business. 1. No. of individuals/young people progressing to self-employment 6 months after receiving a Goal 3 employment support by (QN): No. of additional full-time/part-time jobs created No. of new businesses operating 12 months after establishment (QN) 1. No. of individuals supported in accessing selfemployment grants e.g. BTWEA (QN) 2. No. of attendees (non-caseload adults) at selfemployment information events held by SICAP Implementer (by number of events) (QN) 3. No. of individuals registered with SICAP who are referred to other self-employment/social entrepreneurship training and supports e.g. LEOs, Enterprise Ireland (QN) 4. No of Individuals given SICAP funding to assist start-up of their new business by amount of funding (QN) 36

39 OBJECTIVE G3.3: To support social enterprises operating in disadvantaged communities in providing services to these communities, and linking people from SICAP target groups to employment opportunities within the sector Outcomes Headline Indicators Programme Indicators G3.3.1 A more developed social enterprise sector which contributes to local economic and community development in disadvantaged communities. Within this there is a particular focus on community-led social enterprises. G3.3.2 Social enterprises provide volunteering and employment opportunities for individuals receiving supports from SICAP. 1. No. of initiatives (Structures & Networks) aimed at promoting, developing and/or sustaining social enterprises by SICAP Implementer by type of support (QN): Networking supports Staff training Support with accessing grants/funding/leveraging Advice on operational issues e.g. HR, spotting opportunities, financial management 1. No. of social enterprises (LCGs) supported under SICAP to (QN & QL): Set up Continue operating 2. No of local community groups given SICAP funding to assist social enterprise by amount of funding (QN) 3. No. of new social enterprises (LCGs) established by: Business sector (QN) No. of additional individuals employed by supported social enterprises as a result of SICAP support (QN) 4. Estimate value brought to locality through the presence of SICAP supported social enterprises in terms of (gathered external to database via survey): Additional income generated (QN) Additional jobs created (QN) Providing services which improve the quality of life in the community (QL) 37

40 OBJECTIVE G3.4: To influence the development of local decision making structures and networks to ensure more collaborative approaches to tackling labour market barrier and addressing unemployment Outcomes Headline Indicators Programme Indicators G3.4.1 Increased and improved joint planning and delivery between service providers and statutory agencies which reduces duplication of employment service provision and leads to better identification of gaps in mainstream services. G3.4.2 A more joined-up referrals systems which aids individuals requiring activation supports to be able to access the right services. G3.4.3 Plugging identified gaps in employment provision with locally specialised employment initiatives. There are no headline indicators for this Objective. Note: Some actions under this objective will be evidenced by the indicators from the other objectives in this goal. 1. No. of new strategies/partnership/joint programmes (Structures & Networks) in place between SICAP Implementer and employment focused agencies which are designed to improve access to employment supports (QN) 2. Any improvements or efficiencies made to existing strategies/partnerships/joint programmes that increase access to employment supports (QL) 3. New/improved referrals systems in place between SICAP Implementer and employment focused agencies in increasing access to employment supports (QL) 4. Perceived effectiveness of SICAP services/initiatives in creating a more joined up employment eco-system locally (QL) 38

41 3.4 Client Engagement: From registration to ongoing engagement Included in this section are the minimum requirements for Programme Implementers regarding the methodology for the registration process and ongoing engagement with clients. Programme Implementers provided a methodology for the delivery of services and client engagement in their ITT submission which included how the horizontal themes will apply, the accessibility and availability of services, the approaches to be used to identify and effectively engage with SICAP groups, frequency of engagement with individuals and groups, Personal Action Plans etc. The methodology set out by each must be applied to and amplify the minimum requirements below. SICAP Services Services provided under SICAP shall be available at a minimum from 9.00am 5.00pm Monday to Friday inclusive, excluding public holidays. Some out-of-regular business hours work will also be expected given the nature of community work. Target groups and individuals will not be charged for receiving any supports under SICAP. Implementers must provide suitable premises and facilities for the provision of services and this should include some outreach services based in the most disadvantaged communities. All premises and facilities must provide for the privacy and confidentiality of individuals using SICAP services. They must also allow individuals to access computers, the internet and other facilities to help in their search for education and employment initiatives. Meetings with SICAP target groups and individuals must be held at locations that are accessible by public transport. Where possible, outreach services to areas where public transport systems are limited should be prioritised. Services are to be accessible in accordance with the National Disability Authority s Code of Practice on Accessibility of Public Services and Information provided by Public Bodies. The Programme Implementer must provide services (including documentation) through the Irish language if operating in a Gaeltacht area see the Gaeltacht insert in Section 2. Registration Process for Individuals All individuals engaging with and receiving supports under the goals in SICAP must be registered with the programme and have a record created on IRIS (see Section 4 for more details on IRIS). This will mainly relate to individuals taking up services under goals 2 and 3. A different registration process is required when registering local community groups see section below. Note: If a Programme Implementer was previously involved in the delivery of LCDP, it is important to note that only records relating to individuals that received supports from that organisation from January to April 2015 will be carried over into SICAP. If the same individual was supported under LCDP prior to 2015 and is now going to receive supports under SICAP, the Programme Implementer has to create a new record for that individual. Individuals may approach Implementers of the Social Inclusion and Community Activation Programme directly or may be referred by another statutory or non-statutory agency/organisation. A standard procedure must be applied by all Implementers when registering individuals with the programme in order to ensure consistency and equality of treatment, and data comparability. An individual: Is recorded as being registered with SICAP on the date when s/he has the first one-to-one meeting with the SICAP staff member. Must receive a minimum of two interventions to be included in the caseload. The registration meeting itself is not counted as an intervention but an intervention can be recorded on the same date as the registration process. Please note though that the frequency of engagement will be commented upon as 39

42 part of Pobal s performance monitoring role to LCDCs to ensure that programme beneficiaires are receiving ongoing developmental supports). Must sign a consent form that they agree to engage with the programme and they authorise the gathering of the information requested in the registration process, and any subsequent personal data. Information to be collected and entered on IRIS The following details should be collected and entered on IRIS for each individual during the registration process. Registration: Information to be collected and entered on IRIS for an individual Personal Details 1. Name 2. Contact details: Address, , telephone no. Registration/Consent 3. Consent to record personal data 4. Consent to record sensitive data 5. Consent to share data with local service providers 6. Consent for future contact for surveys/evaluation 7. Personal Action Plan agreed Profile 8. Gender 9. Date of birth/age band 10. How the person heard about SICAP - If referred, the referral agency or service Status at Registration 11. Principal economic status 12. Highest level of educational attainment Target Group/Background 13. Lone parent 14. New communities 15. Nationality* 16. Ethnic/cultural background* 17. Person with a disability* 18. Whether the individual has experienced discrimination in accessing and participating in mainstream services* Household Situation 19. Single adult household 20. Jobless household 21. Dependent children living in household 22. Homeless or affected by housing exclusion 23. In financial difficulty if yes, in receipt of financial services Youth Related Information 24. Young person 25. Status of youth Each Programme Implementer is required to have in place a data consent form. This must be signed by every individual registered with SICAP giving their consent for their details to be gathered and stored on IRIS, or signed by an individual representing a local community group. Programme implementers should ensure that indivdiuals are aware that their records/consent forms may be viewed as part of external programme audits for the purpose of verifying records etc. Such on the spot verifications or audits may be conducted by Pobal or agents of the Funders and the Contracting Authorities. The four questions marked with an * have been deemed to be sensitive questions and are not required to be answered unless the individual gives specific consent. Please see the Training Guide to Completing the Individual Registration Form for the full guidance on completing the registration process. 40

43 Persons under 18 years are considered to be minors. If receiving a SICAP support on a one-to-one basis, year olds should be registered on the caseload. All Implementers should have appropriate protocols for dealing with the registration of minors see Section 8 for more details on procedural arrangements. Ongoing one-to-one meetings and the Personal Action Plan Once registered, it will have been identified what sort of service a client would benefit from. They should then be transferred to the employment and/or education specialists who will assist them in seeking education and employment supports. The specialists will profile the clients and discuss with them the kind of assistance they think they would benefit most from, and work with them in drawing up their Personal Action Plan which sets out their plan for the coming months. Each individual registered with SICAP should expect to have a Personal Action Plan which is tailored to fit their needs. Please note that individuals who are involved in cultural activities under goal 1 and children and young people under 18 years of age who are involved in an afterschool club or homework supports are not required to have a Personal Action Plan. The Action Plan should: Be drawn up after the registration meeting and details gathered; Be updated after each interaction on a live basis; Include an assessment of client s education and skill levels, employment history, key competencies and areas of interest, and barriers faced in accessing mainstream education or employment; Assess the proficiency level of the individual relating to speaking and reading using a methodology of your choice. The Interagency Language Roundtable Scale of Language Proficiency is highlighted below for guidance only; Be informed by individuals personal assessment of their skills, key competencies and motivational levels; Be formally reviewed with the individual after six months; Set out pathways for accessing support/mainstream services or moving into more sustainable/better quality employment; Outline all types of relevant support which have been offered to the individual, follow-ups provided and which have been availed of (with dates) and outcomes such as entering employment, taking up an education course. Programme Implementers must ensure that individuals are sufficiently engaged and given the opportunity to reflect on their own abilities, aspirations and progression pathways at regular stages - at a minimum at the commencement and completion of engagement. This should be done via the Personal Action Plan. Programme Implementers should apply the methodology they proposed in their tender relating to how they will design and maintain Personal Action Plans so that they meet individual s and group s needs. Employment/education specialists and youth specialists when interacting with this age cohort, will be best placed to prepare the Personal Action Plan. They will play a central role in delivering supports and will be expected to have the relevant expertise and experience to do so. The same specialist should work with an individual throughout their engagement with SICAP in order to ensure consistency, stability for the individual, and to allow a relationship of trust to develop. 41

44 In cooperation with the client, these specialists determine what actions and instruments would be most suitable for an individual. Their role could cut across a broad range of areas e.g. providing assistance with job search including CV and job application preparation, job interview skills, liaising with employers on training and work experience opportunities, suggesting education and training courses. They will be required to work with individuals so they gain workplace skills including confidence building, time management skills, team work and support the individual in the transition into education or employment. Setting out pathways via the Personal Action Plan will be critical to show how clients can better access support/mainstream services. This will include following up with clients once they are in a training course or work to provide continued support and mentoring, and thereby increase the likelihood that they remain in work or in education. Each individual should also be assessed on their language proficiency for speaking and reading and appropriate notes and actions references in the Personal Action Plan if necessary. There is no requirement to upload the PAP onto IRIS. The specialist working with them may wish to use the internationally recognised Interagency Language Roundtable Scale see table below. This was designed to assess the speaking and reading proficiency of non-native English speakers but is equally useful for carrying out an assessment of a native English speaker s spoken and reading ability. Interagency Language Roundtable Scale Level Level of Proficiency Speaking Reading 0 No proficiency No practical speaking proficiency No practical reading proficiency 1 Elementary proficiency Able to satisfy routine travel needs and minimum courtesy requirements. 2 Limited Working Proficiency 3 Professional Working Proficiency 4 Full Professional Proficiency 5 Native or Bilingual Proficiency Able to satisfy routine social demands and limited work requirements. Able to speak the language with sufficient structural accuracy and vocabulary to participate effectively in most formal and informal conversations on practical, social, and professional topics. Able to use the language fluently and accurately on all levels pertinent to professional needs. Equivalent to that of a native speaker. Able to read some personal and place names, street signs, office and shop designations, numbers and isolated words and phrases. Able to read simple prose, in a form equivalent to typescript or printing, on subjects within a familiar context. Able to read standard newspaper items addressed to the general reader, routine correspondence, reports, and technical materials in the individual's special field. Able to read all styles and forms of the language pertinent to professional needs. Equivalent to that of a native reader. In addition, assistance to clients may also encompass advising and helping them to access other locally available services which could impact on lifelong learning and employment, as well as broader quality of life and personal issues, for example managing a disability, drug or alcohol addiction, advocacy in relation to housing issues, seeking advice on managing finances. Any relevant information gathered during one-to-one meetings and entered into the Personal Action Plan may also need to be entered into the IRIS account for that individual, such as a change to contact information and details of any progression. Attendance Records and Supporting Documentation It is a European Social Fund requirement for SICAP Programme Implementers to maintain and keep on file an attendance record of clients who attend each individual training class and intervention. In addition, a copy of any 42

45 certificates awarded as part of SICAP should also be maintained. This supporting documentation forms part of the checks undertaken by the Contracting Authority and the European Social Fund during audit/verification site visits. Registration and Engagement Process for Local Community Groups Registration: Information to be collected and entered on IRIS for local community groups (LCG) LCG name LCG address, telephone, Contact details name of contact person, & telephone Job title/role Date of registration meeting Data consent form signed LCG type (issue-based or area-based) Stage of development at registration No. of individuals represented/assisted Target group(s) The following are the minimum standards for registering and engaging with local community groups: A local community group must receive a minimum of two interventions a year to be counted as part of the SICAP caseload; The first meeting with a local community group will be the date recorded as when the group is engaged with SICAP; Record contact details for the registered local community group and the nature of the support given to the group. The primary focus of the support should be line with community work principles and the code of practice above and should include support in participating in Public Participation Networks; Profile the development needs of the local community group and record any progress or regression in its stages of development; Ensure that local community groups understand what supports and services they can expect to receive and provide a means by which constructive feedback can be given on the supports received. Community and local development specialists are best placed to engage with local community groups under these types of interventions. Referrals The Programme Implementer agrees to deal with any specific referrals to SICAP services by the Department of Social Protection/Intreo/Local Employment Services and Educational and Training Boards, and to co-operate with any referral and reporting protocols agreed by the Department of Social Protection, the Department of the Environment, and the LCDC locally. Referral Protocol with DSP A referral protocol was agreed with the Department of Social Protection in September Within the protocol the DSP recognises SICAP and its contribution to employment and activation under Goal 3. The full text of the protocol is inserted in Appendix 2. The protocol was prepared in order to ensure greater collaboration between PIs and DSP staff so that SICAP can complement current activation service provision and add value to these. DSP case officers will inform Intreo clients of relevant options and services available to them under SICAP, and will contact their local SICAP PI informing them if they have referred an individual. 43

46 Section 4: Monitoring Underpinning the monitoring of the programme is a: Framework of indicators; Defined set of programme beneficiaries; Supporting ICT system (IRIS); Performance monitoring/reporting process. 4.1 Framework of SICAP Indicators SICAP is premised on a framework of different indicators which comprise of programme indicators, headline indicators and key performance indicators. The graphic below illustrates the hierarchy of indicators. Key Performance Indicators Headline Indicators Programme Indicators The programme indicators are the largest in number and broadest in scope, capturing the full breadth of work to be undertaken under the Programme. The headline indicators represent a smaller range of measures, identified as representing core measures of progress and effectiveness. The key performance indicators (of which there are two) are the specific measures against which performance/delivery will be assessed as SICAP is implemented. Effectively, the key performance indicators represent a rolling up of the more varied and nuanced information captured against the lower levels in the indicator hierarchy into a summary level. Programme Indicators The SICAP framework sets out a series of goals and objectives - see Section 3 for full details. Each goal is in turn associated with a series of indicators designed to capture and track the progress in delivering its goals. This full set of indicators is intended to capture the breadth of supports and interventions to be undertaken and the range of outputs and outcomes that will result from them. Headline Indicators Within the overall framework of programme indicators, a set of 15 headline indicators have been identified as representing the most important measures of SICAP delivery and progress. The headline indicators are in a separate column in the programme framework for each goal and are repeated below for ease of reference. An annual target against each headline indicator will be set by the Department for each Lot. 44

47 Goals 2 & 3 Headline Indicator Total number of disadvantaged individuals (15 years upwards) engaged under SICAP on a one-to-one basis (KPI) 1 Number of local community groups assisted under SICAP (KPI) 1 Number of local community groups whose members have been assisted by SICAP to participate in local, regional or national decision-making structures Number of individuals (15 years upwards) in receipt of a Goal 2 educational support 2 70% of those targeted should have educational attainment of Leaving Certificate or lower 2 Number of individuals who have progressed (along the education continuum) after registering with SICAP Number of young people (aged 15-24) in receipt of a SICAP, ESF and YEI 2 Goal 2 educational support 80% of those targeted should have educational attainment of Leaving Certificate or lower 2 Number of young people (aged 15-24) who have progressed (along the education continuum) after registering with SICAP 2 Number of children (under 15 years) in receipt of a Goal 2 educational or developmental support Number of individuals (15 years upwards) in receipt of Goal 3 employment supports: 3 60% of those targeted should have educational attainment of Leaving Certificate or lower 3 Number of individuals (15 years upwards) progressing to part-time or full-time employment up to 6 months after receiving a Goal 3 employment support 3 Number of individuals (15 years upwards) progressing to self- employment up to 6 months after receiving a Goal 3 employment support Number of young people (aged 15-24) in receipt of a SICAP, ESF and YEI 3 Goal 3 employment support 70% of those targeted should have educational attainment of Leaving Certificate or lower 3 Number of young people (aged 15-24) progressing to part-time or full-time employment up to 6 months after receiving a Goal 3 employment support 3 Number of young people (aged 15-24) progressing to self-employment up to 6 months after receiving a Goal 3 employment support 3 Number of initiatives aimed at promoting, developing and/or sustaining social enterprises Key Performance Indicators Two of the headline indicators have been identified as the key performance indicators. These are the first two indicators shaded in the table above. ESF Co-funding and YEI Targets A national target of 4,000 young people aged years and not in employment, education or training has been set for support under the YEI special allocation to SICAP in 2015 (see Appendix 1 for the national definition of YEI eligibility - NEETs). Further national targets have been set for ESF co-funded young people aged years from Mid-Year and Annual Targets All Programme Implementers will have a set of annual targets to be achieved against the headline indicators (including the two key performance targets). In addition, in developing its Annual Plan (see Section 6), the Programme Implementer will choose relevant indicators (from among the full list of SICAP programme indicators) against each action, depending on the nature of the action and the programme goal to which it is contributing. For each indicator selected, the Programme 45

48 Implementer will propose a mid-year and end of year target to be achieved. No targets are required for qualitative indicators but the PI will be expected to provide an update on progress against these indicators as part of the end of year report. The LCDC, as part of its assessment of the Annual Plan, will review the proposed targets and either accept them or negotiate adjustments to them with the Programme Implementer. Each Programme Implementer will therefore be entering data reporting delivery against (a) all headline indicators and (b) any other SICAP indicators relevant to its agreed annual plan. 4.2 SICAP Programme Beneficiaries All beneficiaries of supports and interventions under SICAP will be recorded on IRIS (see below) and will fall into one of four categories, defined as follows: Disadvantaged Individuals Individual beneficiaries refer to people who are registered and receiving supports/interventions through the programme. In order to be counted within a Programme Implementer s caseload for a particular period, the individual must have received at least two separate interventions. The initial registration meeting does not constitute a SICAP intervention. Individual beneficiaries should be from within the specific SICAP target groups or from a disadvantaged area - see Section 2 for further details. Data consent forms must be utilised and indicated as having been signed with regard to any information collected on individuals receiving supports. Local Community Groups Local community groups are as defined in the box on p.19 in Section 3. The local community groups supported must have a specific focus on a disadvantaged area or SICAP target group(s). Data consent forms must be utilised and indicated as having been signed with regard to any information collected on people who act as contact points for the local community group. Decision-making Structures and Networks Decision-making structures are local, regional or national decision making structures which require input from different sectors with a common goal to address social exclusion and disadvantage. Networks are defined as formal or informal meetings between community activists/community groups with a common interest. The purpose of the networks is to share experiences, develop support mechanisms, identify good practice or develop policy positions and common strategies. Networks may or may not be formally structured. As with local community groups above, Programme Implementers must ensure that contact points for networks and collaborative frameworks give consent for their information to be captured on the IRIS system. Non-caseload Adults and Children Non-caseload adults and children are beneficiaries who participate in activities where it is not required to register them as individuals on the caseload, e.g. attendees at life-long learning information events, number of children in receipt of a goal 2 educational or developmental support. 4.3 IRIS Database 46

49 All SICAP programme data is inputted and stored within IRIS, to which Programme Implementers, LCDCs, Pobal and the Department will have access. The IRIS database is the Integrated Reporting and Information System for the planning and monitoring of SICAP and for evidencing progression against programme objectives. It is a customised online Microsoft Dynamics CRM 14 application. All Programme Implementers are required to use IRIS for annual planning and reporting purposes. Pobal can extract and analyse the data for statistical purposes but cannot release any personal data to a third party. Users of the system access the database over the internet using Internet Explorer. The database is comprised of a series of entities and their relationship to one another. The system is also used as a Sharepoint data storage site which allows users to upload additional documents and information required by the Programme. Each Programme Implementer will only have access to the data relating to its own Lot to the associated beneficiary records, annual plans and so on. Each LCDC will have access only to the data relating to its own Lot(s). Pobal and the Department will have access to information on all Lots. Refer to Section 8 for more information on data protection requirements relating to IRIS. An IRIS Usage Policy for Programme Implementers (Schedule E of the contract) sets out access rights and security roles, licensing agreements and user compliance. Implementers should also be aware of the information they provided in their tender submission in response to Criterion 5 relating to performance management. They should put in place the arrangements they outlined to collect and monitor the data and information required by IRIS in relation to engagement, outputs and outcomes. 4.4 Performance Monitoring/Reporting The key stages involved in the performance monitoring (non-financial) process for SICAP can be summarised as follows and are illustrated in the below diagram: Annual Planning; Headline Targets, Budget Costs, Actions and Action Targets; Ongoing data entry in registering clients/beneficiaries; Capture of supports/interventions delivered; Capture of outputs/progression as a result of supports/interventions; Capture of ESF/YEI relevant data; Mid-Year Reporting; Mid-Year Performance Review; End of Year Report; Annual Performance Review. 14 Customer Relationship Manager 47

50 Key Stages in Performance Monitoring Pre-Plan Headline targets set by the Department (per Lot) Planning Mid-Year targets set for 2 Key Headline Targets Actions agreed for the year Targets agreed for each action for the year Ongoing Ongoing data entry on IRIS On programme Beneficiaries, Supports/Interventions delivered, Outputs/Progression Mid-Year Reporting Mid-Year Reporting Ensure all IRIS information on beneficiaries and supports/interventions is up-to-date Mid Year Review Review of progress made in first half of year/plan Assessment of progress against Mid-Year Targets Ongoing Ongoing data entry on IRIS On programme Beneficiaries, Supports/Interventions delivered, Outputs/Progression End of Year End of Year Reporting Ensure all IRIS information on beneficiaries and supports/interventions is up to date End of Year Performance Report submission Annual Review Review of Progress Assessment of delivery against annual targets Annual Planning All targets for service delivery and outputs are set before or during the annual planning process. Full details of the Annual Planning process are set out in Section 6; this section covers only the elements relating to target setting. In advance of the development of the Annual Plan, an annual target against each headline target will be set, per Lot, by the Department and will be communicated in advance of the annual planning period to the LCDC. These headline targets represent the minimum level of delivery required of the Programme Implementer within the relevant period. It is the responsibility of the LCDC to ensure that the Annual Plan approved for each Lot contains a commitment to (at a minimum) meeting the headline targets set for that Lot. As part of the Annual Plan, the Programme Implementer will provide a set of information about each of the proposed actions. For each action, the Programme Implementer will select (from the overall SICAP indicators) the relevant indicator(s) for the action in question and will propose both a mid-year and an end of year target for each indicator. 48

51 In so doing, the Programme Implementer should refer to the (already defined) headline targets for the relevant Lot and must ensure that, at a minimum, the sum of what it proposes to deliver in the Annual Plan will deliver the required targets in terms of supports and outputs. In addition to annual headline targets stated in the SICAP Funding Agreement, the Programme Implementer will set a mid-year target against the two key performance indicators: 1. Total number of disadvantaged individuals engaged under SICAP on a one-to-one basis. 2. Number of local community groups assisted under SICAP. The following table sets out the different targets, by whom they are set, for what time period(s) and when they have to be reported against. Timeframes Set By To be Reported on Key Performance Targets (At Lot level) Mid-Year & Annual DECLG (Annual) PI (Mid-Year) Mid-Year End of Year Other Headline Targets (At Lot level) Annual DECLG Mid-Year End of Year Action Indicator Targets (from full set of SICAP indicators set as part of Annual Plan) Mid-Year & Annual PI Mid-Year End of Year Ongoing Data Entry in Registering Clients/Beneficiaries Programme Implementers are required to input into IRIS a defined set of information about each individual supported under the programme (See Section 3.4 Client Engagement for further information). This includes a set of profile information. Such information is required to enable tracking of the extent to which the programme is effectively engaging with and supporting the appropriate target groups and those most disadvantaged. When a new individual is registered, a record for that person must be created on IRIS and all mandatory profile fields completed. This should be carried out on an ongoing basis, ideally as and when individuals make first contact with the Programme Implementer. Each individual must sign a consent form at the registration meeting to verify that they agree to engage with the programme and authorise the gathering of the information requested in the registration process, and any subsequent personal data. Programme Implementers are required to ensure at the mid-year and end of year reporting deadlines (see Section 6) that all individual beneficiary information is inputted and up to date. Only information input at the time of that deadline will be used to assess the Programme Implementer s delivery against the agreed targets. Capture of Supports/Interventions Delivered Programme Implementers are required to input into IRIS information on all supports and interventions delivered to individuals and groups. This includes information on the nature of the support and the date(s) on which it took place. Depending on the nature of the support/intervention, further pieces of information may be required. For example, in the case of training the PI will be required to give details of the type of training, details of its accreditation (where relevant), the duration etc. Programme Implementers are required to ensure at the mid-year and end of year reporting deadlines (see Section 6) that all information regarding the supports and interventions delivered is inputted and up to date. Only information input at the time of that deadline will be used to assess the Programme Implementer s delivery against its agreed targets. Capture of ESF / YEI Data The Common Provision Regulation (CPR) and the ESF Regulation for the programming period (respectively, Regulation nos. 1303/2013 and 1304/2013) lay down the requirements for monitoring of ESF co- 49

52 financed operations and reporting by Member States. The ESF Circular 1/2015 sets out national rules for ESF cofunded operations in Ireland. The ESF has established specific requirements for monitoring ESF co-funding being made available for young people under SICAP, including elements relevant to demonstrating the results of the YEI special allocation in Outputs and result indicators that are specific to the ESF and YEI have been incorporated into the IRIS database. Capturing these indicators and results in full will be critical to identifying the ESF co-funded participants and to demonstrating the eligibility of the ESF allocation being made to them. It is particularly important to note that the YEI is results-oriented. This means that IRIS has been organised so as to capture a multiple of possible results for each YEI participant. The intention from the ESF point of view is to demonstrate the changed conditions the YEI special allocation has contributed to for the participant in full. The YEI specific requirements include follow-up contact with the young person and precise capture of the young person s changed situation, relative to their situation upon joining (a) within 4 weeks of exit from the intervention and (b) again after 6 months following exit from the intervention 15. YEI immediate result indicators (within 4 weeks of exit) describe whether participants completed the intervention, whether they received an offer or have actually changed their situation. These indicators are reported by employment status: unemployed, long-term unemployed 16 and economically inactive. Longer-term results (i.e. at 6 months following exit) record whether the participant is in education or training, in employment or in self-employment. A key issue relates to a need to ensure that the results for an ESF co-funded participant are only counted once. If a SICAP ESF co-funded participant who has left the SICAP intervention (and their leaving date and result status has been recorded on IRIS) later returns to receive further SICAP activities, their original record must be changed in IRIS to reflect their new results upon leaving on the second occasion. Finally, a participant may be eligible to benefit from activities in two separate ESF co-funded operations, for example, activation activities as part of SICAP being co-funded under YEI and a training activity as part of a separate YEI co-funded operation. Further practical guidance on the detail of ESF monitoring, Annex D Practical Guidance on data collection and validation, includes a list of relevant individual case examples and should be referred to. This document is available at the ESF website per the link provided at Appendix I. Capture of Outcomes/Progression Programme Implementers are required to input into IRIS information in relation to the outcomes and progression for individual and group beneficiaries, following from support/interventions delivered. This information takes the form of updates to the outputs recorded for the individual (e.g. completed a training course) and progression (e.g. into employment). This will involve contacting beneficiaries who were previously supported and asking for updated information on current status. Follow-up should be made at a minimum six months from the date of their last recorded contact with the Programme Implementer (but note YEI results follow-up requirement above). If an individual no longer requires SICAP supports (for whatever reason) or follow-up contact, then their on-line record must be updated to Inactive File. If the individual returns at a later stage, and is eligible for SICAP supports, the on-line record can updated to Reactivated. Their profile information (e.g. principal economic status, highest level of educational attainment etc.) must remain unchanged (contact details may be updated) and always refer to the date when they first registered with SICAP. The Programme Implementer is responsible for ensuring that such follow-up with beneficiaries is pursued so that the longer term outcomes for those supported under SICAP are captured. PIs are required to ensure at the mid-year and end of year reporting deadlines (see Section 6) that all information regarding outcomes/progression is inputted and up to date. Attributing Outcomes It is important to minimise any double counting of outcomes and outputs. Where an individual is referred by a Programme Implementer to another service provider, the referral itself will be captured as an output under SICAP. The SICAP Programme Implementer is obliged to follow up with the individual at a later date (up to 3 months from 15 Please note that longer term result indicators (i.e. at 6 months) must be collected for all ESF / YEI co-funded SICAP participants. 16 For these young people aged under 25 years, long-term unemployed means unemployed for 6 months or longer. 50

53 date of referral) to record an updated status via the use of output indicators e.g. educational attainment or economic status. See also p.56 ESF/YEI co-financing section for information on this. Mid-Year Reporting Performance will be reviewed at the mid-year point and end of year for the duration of the contract. See Section 6 for full details of programme milestones and deadlines. The mid-year reporting by the Programme Implementer will take the form of entry of data onto IRIS in relation to beneficiaries (disadvantaged individuals, local community groups, networks and structures) supported, interventions delivered and outputs/progression achieved. This information should be entered on an ongoing basis as the work takes place, in which case the only task for the Implementer when the reporting deadline is approaching is to review the data. The Programme Implementer is responsible for ensuring that the data is fully completed and up to date on IRIS when the deadline occurs. Information entered after that date will not be counted towards achievement of mid-year targets and will not be considered as part of the mid-year performance review. Mid-Year Performance Review The performance review is based on the information provided for the mid-year reporting and will include an assessment of progress made towards the headline targets and action targets agreed during the annual planning process. Details of the mid-year performance review process, which includes both a financial and non-financial element, can be found in Section 6. End of Year Report In addition to the ongoing inputting of information onto the IRIS database, Programme Implementers will be required to submit an annual end of year report. This report will contain commentary on the level of progress that has been achieved in delivering the agreed actions and in meeting the agreed targets for each goal, details of any success or issues/challenges in delivery and the Programme Implementer s contribution to the horizontal themes. See Section 6 below for full details of programme milestones and deadlines. Annual Performance Review The annual performance review is based on the Programme Implementers submission of an end of year narrative report and full-year data on IRIS. This review will include, using data from IRIS, an assessment of the extent to which key performance, headline and action targets have been met over the year and an assessment of the extent to which programme requirements in relation to the profile of the beneficiaries have been met. Details of the Annual Performance Review process, which includes both a financial and non-financial element, can be found in Section 6. ESF Reporting ESF national reporting comprises a discrete pillar of SICAP reporting. The establishment of a new national electronic data system in 2015/2016 to provide for direct information exchange between ESF MA and beneficiaries is intended to simplify the ESF national reporting process. 51

54 In 2015, the ESF will perform a series of ex-ante verification checks across all ESF co-funded programmes, the purpose of which is to ensure that robust data reporting systems are in place. Ex-ante verification may involve some visits to SICAP Programme Implementers to view the ESF co-financed activity ongoing on the ground. From 2016, the first formal annual ESF reports will be prepared. In mid- 2016, for example, the Annual Activity Report (AIR) will be submitted by the ESF to the European Commission. SICAP will contribute to this national report. Evaluation Evaluation will be a critical component of SICAP. Evaluation is a process that critically examines a programme and involves collecting and analysing information about a programme s activities, characteristics and outcomes. Its purpose is to improve its effectiveness and/or to inform programming decisions. Evaluations can show effective practices and what is working and can lead to disseminating successful approaches. LCDCs will play a key role in evaluating the effectiveness of their Programme Implementer in terms of delivering on the aim, vision and goals of SICAP. IRIS will be an important tool in evaluating the performance of Programme Implementers and assessing the degree to which they are meeting the headline and programme targets. Work on a programme evaluation will be commissioned by the Department and is planned to commence in 2016, running for the remainder of the programme. In addition, the ESF Managing Authority commissioned an independent evaluation of YEI in October 2015 which is due to be completed by the end of For the purposes of capturing feedback and/or conducting a programme evaluation, Pobal and/or agents of the Department of the Environment, Community & Local Government and/or European Social Fund may, in future, wish to make contact with those who have received supports under the Programme. Participants will be chosen randomly for this purpose. Programme Implementers have been asked to ensure that clients voluntarily opt in to allowing Pobal access their information in the future solely for the purpose of a programme review. Highlighting and Disseminating Good Practice An important component of SICAP will be learning from what initiatives, ideas and types of projects are working best on the ground, and the outcomes of specific interventions for particular target groups. The sharing of such learning is an effective tool in disseminating good practice, creating pride amongst the delivery groups, and generating greater awareness amongst the general public and community development sector about SICAP and the types of actions delivered under it. The actions carried out in SICAP to tackle poverty and social exclusion offer a rich testing ground from which, if properly evaluated, the State can learn and thus enhance its own effectiveness in responding to these key issues. It can also lead to a considerable body of research into the programme and bring about invaluable learning such as how different actions and strategies evolve over the lifetime of the programme, the different forms of local, public and private sector involvement and the types of relationships which evolve. Pobal will play an important role in the dissemination of good practice. Pobal staff will work closely with Programme Implementers and LCDCs in ensuring the effective running of the programme, and as part of this role will seek out examples of good practice and share these nationally among the SICAP delivery organisations on the ground. In showcasing effective and innovative approaches to tackling disadvantage and social exclusion amongst the target groups, Pobal will encourage other organisations to consider adopting similar approaches with the aim of mainstreaming innovative policy and learning into local and national policy over time. 52

55 Section 5: Finance This section sets out the key financial management requirements relating to SICAP. It covers the following items: Eligible costs; Payment instalments; Reporting of VAT costs; SICAP budget changes/revisions; Management of SICAP funding; Financial statements; Audit/verification; Financial reporting. 5.1 Eligible Costs There are two categories of costs which are eligible under SICAP. These form the basis of the SICAP budget and are as follows: Indirect: Administration Costs Direct: Actions Cost (under the three SICAP goals and including the monitoring cost) Administration (Indirect) Costs Administration (indirect) costs relate to those costs that are not directly attributable to the implementation of SICAP. This includes overhead costs e.g. office and administrations costs, and financial and professional fees. Indirect salary costs which relate to the management, implementation and co-ordination of SICAP are also included under administration costs e.g. the CEO/Manager (whichever is applicable) of the company, financial controller/administrator and other administrative support salary costs. Administration (indirect) costs cannot exceed 25% of the total annual budget and cannot be increased over the life-time of the contract from the % amount stated in the contract. Actions (Direct) Costs Actions (direct) costs are comprised of the costs of eligible activities that directly relate to the implementation of the SICAP Annual Plan. This includes all action costs, both salary and non-salary, in addition to monitoring costs. The actions (direct) costs relating to SICAP interventions must be divided across the three SICAP goals. Further details regarding the apportionment of costs by goal is detailed below. Salary Costs The types of actions that are delivered with SICAP funding are heavily reliant on people-based services. Staffing costs can be differentiated according to direct (actions) and indirect (administration) salary costs. As a general rule, the indirect salary costs relate to staff members who are involved in the management and financial/administration of the programme e.g. CEO/ Manager of the company, financial controller and finance/administrative support. The direct salary costs include any staff member that has a direct role in the implementation of SICAP actions e.g. thematic specialists in employment and training, trainers, networkers, and community development workers. Programme Implementers should note that a staff member cannot be included as an indirect salary and also included in direct salary costs (and vice versa) for the same post. However, if an individual is working on a part time basis and has two separate posts each with its own separate job description, they can be included under indirect salary costs and direct salary costs. Under the procurement process, tenderers were required to nominate staff members to carry out the actions outlined in the SICAP Action Plan, as per Appendix 3 (Staffing Resource Schedule) of the ITT. As part of the annual planning process, Programme Implementers are required to update the Staffing Resource Schedule on IRIS (see Section 6.1) on an annual basis, with details of the names and job titles of all SICAP funded staff, and confirm that a CV has been provided to the LCDC. 53

56 SICAP Goal Apportionment In relation to the actions (direct) costs, the Department has agreed the following percentage apportionment across the three SICAP goals: Goal 1: 33% of the total actions (direct) costs budget with a 5% leeway either side of the 33% Goal 2: 33% of the total actions (direct) costs budget with a 5% leeway either side of the 33% Goal 3: 33% of the total actions (direct) costs budget with a 5% leeway either side of the 33% Programme Implementers must ensure that the SICAP budget complies with the above goal percentages for the duration of the Annual Plan. 5.2 Payment Instalments The payments made by the LCDC to the Programme Implementer will be calculated on the basis of quarterly equal instalments over the lifetime of the contract. The timeframe is outlined below (given that arrangements for 2015 will be different from 2016 and 2017, these are set out separately): Quarterly Payments 2015 April June Quarterly Payment Will be made following receipt of a signed contract from the Programme Implementer. This is intended to facilitate the cash flow of Programme Implementers for the beginning of the programme. July September Quarterly Payment Will be made once the Annual Plan has been approved on IRIS by the LCDC. The payment will be withheld until the LCDC confirms that the Annual Plan has been approved. October December Quarterly Payment Will be made following the approval of the mid-year report by the LCDC. Quarterly Payments 2016 and 2017 January March Quarterly Payment An initial payment will be made in the amount of one month s funding to facilitate the cash flow of Programme Implementers. The remainder of the quarterly payment will be made following the approval of the end of year report by the LCDC. April June Quarterly Payment Will be made once the Annual Plan has been approved on IRIS by the LCDC. The payment will be withheld until the LCDC confirms that the Annual Plan has been approved. July September Quarterly Payment October - December Quarterly Payment Will be made following the approval of the mid-year report by the LCDC. Will be made following the approval of the mid-year report by the LCDC. 5.3 Reporting of VAT Costs As the costs provided in the SICAP ITT were exclusive of VAT, specific provision for Programme Implementers to claim VAT costs which are incurred in the implementation of SICAP will be made through the mid-year and end of year financial reports submitted on IRIS (see Section 6.2). Programme Implementers should note the following conditions apply: 54

57 VAT costs that are required to be paid by Programme Implementers for the delivery of SICAP (these must relate solely to SICAP), can be charged to the programme in the financial reports submitted via IRIS. An amount for VAT that relates solely to SICAP can be charged to the programme via IRIS against each action (direct) cost, on the basis of the actual VAT costs that have arisen during the period. An amount for VAT that relates solely to SICAP can be charged to the programme via IRIS against each of the administration (indirect) cost headings (excluding indirect salaries) on the basis of the actual VAT costs that have arisen during the period. The VAT rates that are used to calculate the VAT costs charged to the programme must correspond with the appropriate rates as set out by the Revenue Commissioners. If the VAT amounts charged to the programme in the financial reports are based on actual costs incurred by the Programme Implementer in the delivery of SICAP, then in the event of an audit/verification, the Programme Implementer will be required to provide appropriate supporting documentation, such as invoices that confirms the VAT amount charged in the reports. The eligible VAT costs charged to the programme in the financial reports submitted via IRIS will be paid by the LCDC to the Programme Implementer. 5.4 SICAP Budget Changes/Revisions Programme Implementers are required to monitor expenditure against the cost headings on an ongoing basis to ensure that spend is in line with the agreed budget. If it becomes apparent during the course of the year that the costs reported against any of the administration (indirect) or action (direct) cost headings are likely to be at variance with the agreed SICAP budget for that particular heading, the Programme Implementer has the option to transfer costs between cost headings. Programme Implementers can make budget changes/revisions on the basis that the following requirements are adhered to: While the outputs of individual actions may change, the headline targets for the Annual Plan must still be achieved within the required timeframe. No additional/new actions can be included in the Annual Plan. The % of costs allocated to each of the three SICAP goals must remain within the 28%-38% threshold. The agreed total administration (indirect) cost may not be increased. If the above rules are not adhered to by the Programme Implementer when making budget changes, then a reduction in payments will be imposed by the LCDC in consultation with the Department and Pobal. Costs are agreed in principle by the LCDC and Pobal; however, the responsibility for the eligibility of the actions within the Programme rests with the Programme Implementer itself. 5.5 Management of SICAP Funding Programme Implementers should be aware of their responsibilities in the management of SICAP funding for a number of specific areas, these are outlined below: Public Procurement Procedures Programme Implementers must adhere to the Public Procurement Guidelines. The current general public procurement guidelines are available at the following link. Further information on public procurement is available at: The European Commission has published new guidance (2015) on public procurement to help administrations and beneficiaries make the most out of EU investments. It set out how to avoid the most common errors in public procurement of projects funded by the European Structural and Investment Funds. 55

58 Action Files An action file must be maintained for each action reported on IRIS, irrespective of whether the activity is contracted to a sub-contractor or managed internally by the Programme Implementer. The Programme Implementer must ensure the action file is a single comprehensive documented record of all stages of the action, from its initiation through to its completion. In particular, Programme Implementers must clearly document the estimated quantitative targets from each activity funded under SICAP, which must be submitted on IRIS at the annual planning stage. The Programme Implementer must monitor and record the actual quantitative targets achieved and this must also be reported on IRIS. The Board of the Programme Implementer must formally approve each individual action. Sub-Contracting At delivery stage the Programme Implementer may wish to consider taking on additional expertise through subcontracting. Sub-contracting is applicable for the delivery of specific services/discrete pieces of work which are necessary to deliver SICAP. It is important for Programme Implementers to note that these requirements may be subject to public procurement rules. A sub-contractor will not form part of the legal contractual arrangements between the Programme Implementer and the LCDC. A maximum of 15% of a Programme Implementer s budget can be paid to sub-contractors on an annual basis. The Programme Implementer shall not assign, sub-contract or transfer any part of the services or contract without the Contracting Authority s prior written consent. Appointment of sub-contractors/additional service providers must be made in accordance with Department of Public Expenditure and Reform s Procurement Guidelines. LCDCs and Programme Implementers may wish to agree a local protocol in relation to approval of sub-contractors to ensure programme delivery is not impacted unnecessarily. Costs relating to the implementation of an action by the sub-contractor should be recorded in the Annual Plan as a non-salary action cost. The Programme Implementer is required to complete a tick box in IRIS in both the Annual Plan and the end of year report, that sub-contracting costs have not exceeded 15% of its annual budget. The Programme Implementer is required to maintain appropriate records which, in the event of an audit, demonstrate that it has not exceeded the 15% limit. ESF / YEI co-financing and interactions with other ESF operations Programme Implementers must manage the financial risks associated with applying the eligibility rules for ESF co-funding, including the YEI special allocation. In particular, Programme Implementers should note that all ESF co-funded expenditure declared by the LCDC for SICAP shall be governed by the ESF national eligibility rules set out in Circular 1/2015 and this document does not impose any additional rules. The ESF is included in the management verifications and compliance framework for SICAP. ESF participants under SICAP are eligible to participate in another ESF operation which may provide a different but complementary intervention. However, the ESF will not fund the same expenditure item twice (per section 3.9, ESF Circular 1/2015). In addition, the rationale for the complementary intervention must be included in the Personal Action Plan of the YEI participant in SICAP. An example is the inclusion of work experience in the Personal Action Plan where the SICAP participant in receipt of the YEI allocation may be simultaneously in receipt of a YEI co-financed support under Tús. In the case of doubt here, Programme Implementers should refer their query to the LCDC. Programme Implementers should also consult the practical guidance on data collection and validation (Annex D) available at 56

59 Leveraged Funding There is no scope to reflect any complementary funding in the agreed budget. Programme Implementers can leverage additional funding from other sources to enhance SICAP actions, resource local community groups and organisations etc. Goal 1: Grants to Local Community Groups The awarding of grants to local community groups under goal 1 is not eligible under the programme. Programme Implementers are free to utilise their own non-sicap funding such as reserves or leveraged funding to support local community groups with small scale grants towards their development, however this is not something which will be monitored or evaluated under SICAP. The PI can also support the LCG to access other sources of funding available from other entities such as the local Education Training Board, the Local Authority and the new Leader Programme. Goals 2 and 3: Educational and Training Grants to Individuals The awarding of grants of financial assistance to individuals under goal 2 and 3 to undertake educational/training courses is not eligible under the programme. However, PIs may wish to assist individuals by providing them with text books and other course materials. A suggested approach is that PIs purchase these materials and loan them out to individuals. Any materials purchased and loaned out remain in the ownership of the PI and is given on loan to the individual for a defined period. This is eligible expenditure under the programme as long as it is directly related to an action/activity that has been approved in the annual plan and there is supporting documentation to verify that a real cost has been incurred. Adopting a shared approach ensures that materials and equipment will be available for access to all and this will allow the PI to develop a shared resource over the lifetime of the programme. Programme Implementers are also free to utilise non-sicap funding (such as reserves or leveraged funding) to support individuals with small scale finance aid towards their learning and development, however this is not something which will be monitored or evaluated under SICAP. See p.60 for eligible participant expenses. Goal 3: Enterprise Start-up/Social Enterprise Grants Enterprise start-up grants can be made available to any of the SICAP target groups to assist an individual in setting up their own business or to assist a social enterprise at any stage of their development. Providing direct financial support can make a significant difference to people at start-up stage by giving them the financial assistance they need to put their ideas into practice. A further objective is to support social enterprises to establish and expand, employing those that are most marginalised and they can provide local services which other enterprises may not. While it is acknowledged that a business which has already been established may require on-going financial support, because of the limited resources available through SICAP, grants are only available to non-social enterprises in the start up phase. An inter-agency, collaborative approach should be adopted by the PI to access other funding vehicles such as LEOs, Leader, Micro-Finance Ireland etc. should they wish to provide financial assistance to established enterprises. The following eligibility criteria apply: SICAP grants should only be made available to start-up companies/social enterprises which contain fewer than ten people micro-enterprises. Start-ups/social enterprises may only receive one grant from their local Programme Implementer for the same business plan. 57

60 A maximum of 2,500 can be made available to any one individual/start-up/social enterprise. The grant awarded from the Programme Implementer must not exceed 80% of the total projected project expenditure as outlined in the grantee s application. Match funding must be in cash or assets, whose value can be independently vouched. At least half of the 20% match funding requirement must be paid in cash. A Programme Implementer may allocate no more than 15% of the goal 3 action cost to enterprise grants and revolving loans (see below) over a 12-month period. Grants can be provided to start-ups/social enterprises operating in any sector of the local economy as long as the risk of displacing existing jobs has been considered. Individuals applying for a grant must set out in their business plan the rationale and requirement for financial support and provide documentary evidence of the costs e.g. a quotation from at least two suppliers. The categories for eligible items under the Back To Work Enterprise Allowance (BTWEA) Enterprise Support Grant are useful in giving a specific idea of eligible items see here. Note that grants cannot be made available for the following items: Building/premises rental costs Cost of travel Insurance (except public liability) Personal clothing and uniforms (except protective clothing) Professional development programmes arranged by professional and regulatory bodies Purchase of any type of vehicle Stock-in-trade Utility costs, connection or supply and local authority rates The core costs of an enterprise set-up must not be funded. These costs are only eligible in exceptional circumstances in a start-up situation and on a once-off basis. Programme Implementers should be aware if the start-up/social enterprise has applied for/is receiving a grant from another public body and what the grant is being used for. They may decide that if already in receipt of a grant, the SICAP grant is best allocated to another entity which has not already accessed funding from another public body in order to reduce duplication of funding. If an individual is on the BTWEA or the Short-Term Enterprise Allowance (STEA) they can also apply for financial support with the costs of setting up a business under the Enterprise Support Grant (formerly the Technical Assistance and Training grant). If an individual is already availing of an Enterprise Support Grant, the Programme Implementer may decide they do not require a SICAP enterprise grant. If receiving a grant from SICAP, this must be identified in the business plan submitted to BTWEA/STEA. Goal 3: Loan Fund Loans can be made available to any of the SICAP target groups to allow an individual who is setting up their own business to access a loan. The aim of the loan fund is to support business enterprise/social enterprise and build up the credit worthiness of the clients of the Programme Implementer with a regulated financial institution and thereby increase their likelihood of receiving further loans from similar institutions in the future. A revolving loan scheme is eligible as a SICAP action only where all of the following criteria have been met: All clients of the fund must be from a SICAP target group. 58

61 The Programme Implementer must enter into an agreement with a regulated financial institution which will administer the loan on its behalf. The loan applications will be formalised by the financial institution which will account for, and manage, the charging of interest and repayments on the loan. The interest rate should be charged at a reduced rate which is below the normal market rates. The loan must be issued to clients of the Programme Implementer (defined above), who have applied to it in the first instance and are screened for suitability by the Programme Implementer. The Programme Implementer will make the decision on whether an individual is approved for a loan or not (with the exception of an individual who already owes money to the financial institution). The financial institution loans out to the client the equivalent value of the amount lodged by the Programme Implementer. The SICAP funds are used as security only for the loan and will only be called in if a loan is deemed to have failed. There is no matching funding required from the clients of the Programme Implementer. The financial institution should provide reports to the Programme Implementer on an intermittent basis on the operation of the fund (including summary details on the repayment schedules etc.) and whether any of the security was required to be drawn down. A contract/letter of agreement must be entered into between the Programme Implementer and the financial institution, taking all of the above conditions into account. A defined timescale for how long the funds will be held as security and a completion date/wind up of the loan fund must be agreed by the LCDC in advance of the commencement of the loan fund. Once the funds have been transferred to the financial institution, the transfer can be charged as a cost on the financial reports submitted via IRIS. At the cessation of the revolving loan fund scheme, the funds are to be transferred by the Programme Implementer back to the LCDC unless otherwise agreed in writing by the LCDC. Programme Implementers may also assist clients to prepare funding proposals for other agencies such as Local Enterprise Offices (LEOs), Micro-Finance Ireland and Clann Credo: LEOs currently offer a priming grant a business start-up grant available to micro enterprises within the first 18 months of start-up that fulfil a number of criteria. They also provide business loans (in partnership with Microfinance Ireland) from 2,000 to 25,000. Clann Credo offers affordable loan finance to community, voluntary and charitable organisations, community businesses and social enterprises throughout Ireland. It looks at both the social dividend of a project as well as the ability to repay. Loans up to 500,000 are considered. The LEADER programme may also be a source of assistance which could be considered in rural areas. Leader is providing 250m over the programme lifetime to address poverty reduction, social inclusion and economic development of rural areas. Find more information on the DECLG Leader website. In addition, financial supports are available from the Department of Social Protection (DSP) Activation and Family Support Programme to provide training and mentoring for start-up businesses. A discretionary fund, the Activation and Family Support Programme provides training and education support to enhance people s circumstances and improve their quality of life. Eligible Participant Expenses Participant training expenses as outlined below are eligible under SICAP for any individual who is receiving support under goals 2 or 3. It is recommended that each Programme Implementer should have a clear policy in place in ensuring appropriate and consistent claiming of support expenses for individuals participating in training. Travel and Subsistence Expenses Travel and subsistence costs for SICAP participants attending training is an eligible cost. If participants are claiming travel costs, every effort must be made to use public transport. The mode of transport should be the most economical taking account of time, costs and subsistence. Payments to participants for subsistence can only be made on the basis of receipts for actual costs that have been incurred by the participants. Reimbursements to participants must be approved at the appropriate level within your organisation. 59

62 Proof of expenditure is always required. Payments must be supported by the appropriate supporting documentation (e.g. claim forms, tickets, receipts) detailing not just the costs incurred but the justification for the cost e.g. name of course, facilitator, locations, its specific link with the project. Each Programme Implementer should ensure that these receipts are maintained as part of its books and records and are available for inspection. Training participants may be reimbursed for subsistence costs against receipts demonstrating actual costs incurred. Any daily subsistence rate is recommended to be in the region of 10 to 15 per day. It is expected that the higher daily rate is applied prudently, i.e. covering costs for days longer than 9 hours. Childcare Costs In relation to childcare, only childcare costs that are paid to a HSE notified childcare provider (crèche, childcare centre or childminder if notified to the HSE) are eligible. Official invoices or receipts issued by the childcare provider must be provided to the PI by the participant. The invoices and receipts must be dated and the dates correspond with the particular timeframe for courses which were attended by the participant. It is important to note that SICAP costs should not constitute double-funding in cases where the child is already participating in a scheme such as Early Childhood Care & Education (ECCE) or Childcare Education & Training Support (CETS) or having his/her childcare fee subvented under Community Childcare Subvention (CCS). Property/Lease Agreements A formal written lease agreement is required to be in place for every instance where a Programme Implementer is renting premises for the implementation of SICAP. The Programme Implementer will provide suitable premises and facilities for the provision of services which may include outreach services that are based in the most disadvantaged communities that are within a Pobal HP Deprivation band of disadvantaged, very disadvantaged and extremely disadvantaged. Fixed Assets The Programme Implementer must prepare and maintain a fixed asset register which must include: the date of purchase; an asset description and cost; the source of funding; the applicable depreciation rate; etc. The fixed asset register must be updated regularly and at least annually. The Programme Implementer must ensure that the fixed asset register is reconciled to the fixed asset details contained in the Audited Annual Financial Statements. Eligible Staff and Board Expenses Travel and Subsistence Expenses The travel and subsistence paid to staff and Board members for travel expenses incurred in the course of necessary absence from their base in undertaking SICAP-related duties must not exceed the stipulated rates of the Department of Finance. The payment of travel and subsistence must be in complete accordance with the relevant rules and regulations as outline below: All claims for travel and subsistence must be made on an official claim form that record the full details on which the claim is based. Claim forms must be signed by the claimant as well as being reviewed and certified by the claimant s supervisor before payment is made. The CEO s claim form must be reviewed and certified by the Chairperson or by other Board directors in line with the company s internal procedure. All vouched expenditure must be supported by an invoice or a receipt. The Programme Implementer must obtain a signed undertaking from each staff and Board member who claims mileage expenses, which confirms their car is properly insured and that the Programme Implementer is not liable for any loss or damage resulting from the use of the person s car, prior to driving on any official business. Insurance/Indemnification Programme Implementers are required to ensure that they have adequate insurance in place on all of their assets, including leased assets as well as public liability and employer s liability insurance. The relevant levels are as follows: Employers Liability 12.7 million Public Liability 6.5 million 60

63 The Programme Implementer will, during the term of the SICAP contract, be required to: Immediately advise the LCDC of any material change to its insured status; Produce proof of current premiums paid upon request; Produce valid certificates of insurance upon request. In addition, Programme Implementers are required to ensure that all the requisite indemnifications are in place. They will indemnify the LCDC and the Local Authority from and against all and any losses, claims, demands, damages or expenses which the LCDC and/or the Local Authority may suffer. Programme Implementers must ensure that the Annual Audited Financial Statements of the company are prepared in accordance with the relevant clauses in the contract that relate to these. The Annual Audited Financial Statements must be finalised and approved and then submitted to Pobal, no later than four months after the Programme Implementer s financial year-end i.e. for most companies with a 31 st December financial year-end this would mean that the financial statements must be submitted to Pobal on or before the 30 th April each year. Following Pobal s review of the Annual Audited Financial Statements, further information may be required from the Programme Implementer in order to provide clarification and reassurance to the LCDC/Pobal. 5.7 Audit/Verification Audit/Verification Visits of the financial and non-financial data reported under SICAP by Programme Implementers may be carried out at the premises of the Programme Implementer by the LCDC, the Local Authority, Pobal, the Department and/or the European Commission (or any nominee of any of them). A number of clauses within the contract, which are outlined below, detail the various obligations of Programme Implementers in relation to such visits, who are required to comply with the conditions. The LCDC, the Local Authority and/or Pobal (on behalf of the Department) may review the performance of the Programme Implementer using a variety of methods including, but not limited to, audits, inspections of SICAP services, client feedback, and a quantitative assessment of the performance level achieved versus the performance bid in the tender. The Programme Implementer shall, within its accounting records and its audited accounts, separately record all monies received as part of the SICAP Funding and all monies expended or liabilities incurred, relating directly or indirectly to the SICAP Services. The Programme Implementer shall fully document all matters pertaining to the SICAP Services and the operation of its business and, as directed by the LCDC, shall furnish to the LCDC, the Local Authority, Pobal, the Department and/or the European Commission, (or any nominee of any of them), copies of any document pertaining to the operation and delivery of the SICAP Services or its business, including but not limited to its annual audited accounts, accounting reports (including, without limitation, reconciliations of such reports with the audited accounts) accounts, books, participant records, monitoring information, records, reports and documentation (in both paper and electronic form) relating to the SICAP Services and the SICAP Funding ( Information ). The Programme Implementer shall retain all information in such a manner as to provide precise details of the SICAP Services at any time. The Programme Implementer shall permit the LCDC, the Local Authority, Pobal, the Department and/or the European Commission or their nominee (as applicable) immediate access to any property owned or occupied by the Programme Implementer, or where Information is stored, for the purpose of inspecting and assessing operation and delivery of the SICAP Services and compliance with this Agreement ( Access ). For the avoidance of doubt, the LCDC, the Local Authority, Pobal, the Department and/or the European Commission or their nominee (as applicable) shall be permitted to inspect and copy Information when exercising their right of Access. 61

64 The Programme Implementer shall answer any queries reasonably raised arising from any exercise of rights of Information or Access to the sole satisfaction of the LCDC, the Local Authority, Pobal, the Department and/or the European Commission or their nominee (as applicable). For the purposes of assessing the performance of the Programme Implementer, the operation and delivery of the SICAP Services or the compliance by the Programme Implementer with this Agreement, whether for the purposes of a Mid Term Review or an Annual Review under clause [1.34] of Part 1 or otherwise, the LCDC, the Local Authority, Pobal, the Department, the Department of Education and Skills, the European Commission, the European Court of Auditors or their nominee (as applicable) may carry out any inspection, audit or verification procedure (Audit) and may require information to be furnished or may exercise any rights of Access in respect of same. If any Event of Default is established following any Audit, the LCDC may, at its sole discretion, terminate this Agreement and/or impose remedies. 5.8 Financial Reporting Section 6 provides an overview of the mid-year and end of year reporting requirements and deadlines for Programme Implementers, which includes both a financial and non-financial element. 62

65 6.1 Annual Planning Process Section 6: Annual Planning and Reporting Programme Implementers are required to submit a SICAP Annual Plan (including costings) to the LCDC, outlining the proposed actions for the following year and the headline and action targets that will be achieved as a result. The annual planning process will provide Programme Implementers with an important opportunity to reflect on their exisiting work in relation to SICAP and identify new and emerging trends regarding the needs of target groups. It will also provide an important opportunity to incorporate and link the SICAP objectives and actions with the priorities of the Local Authority s 6-year Local and Economic Community Plan (LECP). The annual planning process will commence in November/December and be completed by the end of January of the following year. LCDCs and Programme Implementers will be advised of the respective timeframes in due course. Confirmation of Annual Budget/Headline Targets Following confirmation of the national budget in October, it is expected that the annual budget for each Lot will be announced by the Department towards the latter half of November/early December. This will also inform the setting of the headline targets (both local and national) by the Department. The LCDC will subsequently inform the Programme Implementer of the budget allocation and headline targets for the Lot. SICAP Annual Plan The Annual Plan provides details of the actions to be delivered by Programme Implementers under each SICAP goal, including targets for service delivery and outputs as well as action and administration costs. Whilst the Annual Plan for 2015 only covers 9 months, all subsequent plans (for 2016 and 2017) will cover a 12-month period. Programme Implementers will input the SICAP Annual Plan (for 2016 and 2017) directly onto IRIS. Guidelines for completing the Annual Plan will be provided to Implementers at the relevant juncture. Programme Implementers will develop an Annual Plan that will include a maximum of 12 proposed actions that will be carried out to meet the needs and priorities for the particular Lot. The plan must contain a minimum of three actions per goal, which are linked to a SICAP objective (see Programme Framework/Section 3). In addition, for each action, the Programme Implementer will select (from the overall SICAP indicators) the relevant indicator(s) for the action in question and will propose both a mid-year and an end of year target for each indicator. Further information in relation to the setting of targets for the programme, headline and key performance indicators is set out in Section 4. Programme Implementers will also submit a budget as part of the Annual Plan which outlines the action (direct) and administration (indirect) costs. A total cost is provided for each action (direct costs) and is broken down according to salary and non-salary costs. This allows the LCDC to form a view on the value for money of each action. Administration (indirect) costs are also included in the budget and represent the overhead/organisational costs charged to deliver the plan. Programme Implementers should take note of the following: Irrespective of any transfers between cost headings from what was originally approved: o The overall agreed annual budget for the Lot cannot be increased. o The total costs allocated to each of the three goals must be between 28%-38% of the total actions (direct) costs budget. o The overall agreed administration (indirect) costs cannot exceed 25% of the total annual budget and cannot be increased over the lifetime of the contract from the % stated in the contract. All actions (direct) costs relating to an action must be divided across the three goals as non-salary or salary costs, as appropriate. All indirect costs charged to the programme must be recorded in the administration section of the budget either as indirect salary costs or in one of the other defined overhead cost headings. The salary costs of Programme Implementer employees who are either full/part-time funded by SICAP must be included on the Staffing Cost sheet, which is submitted as part of the Annual Plan. Direct staffing 63

66 costs must be shown against the related action and divided across the three goals as appropriate. Indirect staffing costs must be shown in the administration section of the plan. Sub-contracting: the Programme Implementer is required to complete a tick box in IRIS as part of the Annual Plan to confirm that sub-contracting costs do not exceed 15% of the annual budget. The proposed Annual Plan must be approved by the Board of the Programme Implementer, in advance of submission to the LCDC. Any subsequent amendment to the Annual Plan that is required must also be approved by the Board of the Programme Implementer before resubmission. Staffing Resource Schedule Under the procurement process, tenderers were requested to nominate staff members to undertake SICAP actions, as per Appendix 3 (Staffing Schedule) of the ITT. As the full ITT (including clarifications received) form part of the contract, Programme Implementers are required to update the Staffing Resource Schedule on IRIS annually. See also p.53 Salary Costs. Programme Implementers must input the names and job title of all SICAP funded staff and ensure that a CV has been provided to the LCDC. In some cases the Implementer was unable to nominate a full staffing schedule in the ITT or may subsequently need to revise the staff members to complete any gaps/vacancies. For 2015 (Year 1), Programme Implementers will commence this process by end of April/ early May, with a twoweek timeframe to update IRIS accordingly. For 2016 (Year 2) and 2017 (Year 3) the Staffing Resource Schedule will be updated on IRIS as part of the annual planning process. Role of LCDC To check that the Staffing Resource Schedule has been completed in full and is in accordance with the information provided in the ITT. To confirm that the CVs supplied detail sufficient experience/qualifications for the nominated role. To ensure that a fully qualified and experienced staffing complement is nominated at the commencement of each annual plan year. Role of the Programme Implementer To update the Staffing Resource Schedule on IRIS during the annual planning process and upload CVs for each employee nominated to carry out actions funded by SICAP and/or administer SICAP. To advise the LCDC of any changes to the SICAP funded staff members that may arise and ensure that any amendments result in a staffing complement that is equal or greater than the experience and qualifications of the originally nominated team. To advise Pobal of any staff members that may have left to ensure that their access to IRIS is revoked in line with the terms of the IRIS user policy. In the event of the above occurring, the Programme Implementer will need to update the Staffing Resource Schedule when a new employee is in place. Reviewing the Annual Plan The LCDC is the decision-making body responsible for the approval of the Annual Plan. To facilitate a transparent process, the LCDC will undertake an assessment of the plan and costs using specific appraisal criteria. Programme Implementers will be advised of the specific appraisal criteria in advance. The LCDC will also have in place appropritate conflict of interest procedures to ensure objectivity. The LCDC will undertake an assessment of the proposal to confirm that the plan and costings continue to meet the eligibility requirements. The LCDC will review the plan to ensure that it is in line with the LECP devised for the area or, in the absence of such a plan, that it is aligned with any strategic priorities for the area. The LCDC will also ensure that the targets set out in the plan will, at a minimum, meet the headline targets for the Lot (as previously defined by the Department) 17 and that the actions proposed are in line with these programme requirements. Members of the LCDC may contact the Programme Implementer to seek clarification or discuss 17 In the first review period of SICAP, the targets must be equal to those proposed in the Programme Implementer s tender submission. 64

67 particular points. If necessary, the draft Annual Plan may be referred back to the Programme Implementer in order to provide further information/clarification before resubmission. In addition, Pobal can undertake a technical check of the proposed Annual Plan to ensure compliance with the SICAP framework and programme specifications. The focus of the technical check will relate to Programme Implementers adherence to the SICAP financial rules and thresholds. Pobal will also undertake a technical check to ensure that the actions proposed are in line with the programme framework and will clearly contribute to the achievement of the SICAP objectives and anticipated outcomes. In the event that Pobal identifies a need for further information/clarifications, it will advise the LCDC, which will in turn refer the issue to the Programme Implementer for clarification and/or resubmission of the Annual Plan. Pobal will make a recommendation to the LCDC based on the outcome of the technical check. Outcomes of the Annual Planning Process The following outcomes of the annual planning process have been agreed by the Department: 1) The SICAP Annual Plan is recommended. The SICAP contract will continue and an updated appendix (Schedule H) will be included in the contract outlining the annual targets and costings for the respective year. 2) The SICAP Annual Plan is deferred as aspects of the proposal are not deemed sufficient to warrant full recommendation. Payments to the Programme Implementer are withheld until the plan is re-submitted, re-assessed and approved by the LCDC. 3) The SICAP Annual Plan is not recommended due to a number of shortfalls/concerns. There is a recommendation by the LCDC to the Department to cease funding the Programme Implementer under SICAP. The early termination of the contract will be subject to 30-days written notice. The process for the Programme Implementer to exit the Programme will be negotiated with the Department, based on local circumstances. It is intended that the annual planning process will be completed by the end of January for 2016 and Programme Implementers and LCDCs should note that the approval of the Annual Plan for 2016 and 2017 will not take place until the Annual Performance Review has been concluded. See Section 6.4 and 6.5 for further details. 6.2 Overview of the SICAP Reporting Requirements As part of the SICAP financial and monitoring requirements, Programme Implementers are required to submit a mid-year and end of year report on an annual basis for the duration of the contract. This facilitates the reporting of progress, against the Annual Plan, on the achievement of headline targets and actions, in addition to expenditure against the agreed SICAP budget for the respective period. The reporting structure enables the LCDC/Pobal to monitor and formally review the progress of Programme Implementers against the Action Plan and adherence to contractual conditions at both the mid-year point and end of year. The bi-annual reporting also provides the mechanism for Programme Implementers to report on and charge legitimate VAT costs to the programme. The below table provides an overview of the progress reports that are required to be submitted by Programme Implementers, the period covered by the reports, and the reporting deadlines. The timeframe for the LCDC to complete the performance review is also outlined. The timeframes are slightly different for 2015, owing to the 9- month duration of the programme. Timeframes for Progress Reports to be Submitted by Programme Implementers Year Report Period Covered by Report 2015 Deadline for Submission of Report LCDC Performance Review Completed by Mid-Plan 1 Apr Aug 2015 Mid Sept 2015 End Sept 2015 End of Year 1 Sep Dec 2015 Mid Jan 2016 Mid Feb Mid-Year 1 Jan Jun 2016 Mid Jul 2016 End Jul

68 2017 End of Year 1 Jul Dec 2016 Mid Jan 2017 Mid Feb 2017 Mid-Year 1 Jan Jun 2017 Mid Jul 2017 End Jul 2017 End of Year 1 Jul Dec 2017 Mid Jan 2018 Mid Feb 2018 Further information and guidance will be provided to Programme Implementers in relation to the completion of the mid-year and end of year reports. Programme Implementers are also required to comply with any other requests from Pobal and/or the Department for additional progress/output information as may arise during programme delivery. 6.3 Mid-Year Report/Review Mid-Year Report The mid-year report provides a snap shot of the progress of Programme Implementers against the SICAP Annual Plan and budget at a given date. The deadline for the mid-year reporting will be 10 working days from the end of the relevant period; the approximate timeframes are outlined in Section 6.2. Programme Implementers are required to provide the following information as part of the mid-year reporting: Non-Financial This will take the form of entry of data onto IRIS in relation to: o Beneficiaries supported (disadvantaged individuals, local community groups, networks and structures, non-caseload adults and children); o Supports/interventions delivered and outputs/progression achieved. The information should be entered on an ongoing basis as the work takes place. It is the responsibility of Programme Implementers to ensure that the data is up-to-date before the reporting period deadline. Information entered after that date will not be counted towards achievement of mid-year targets and will not be considered as part of the mid-year performance review. Financial A finance report detailing the costs charged to SICAP. A charge should be reported against each budget heading, either where work has been carried out under the budget heading or a cost has been incurred. The costs should reflect the work that has been undertaken during the reporting period only. Costs incurred for a particular action can only be charged once, for the same piece of work. Mid-Year Review In 2015, the mid-plan review will take place after a 5-month period (1 April to 31 August 2015). In other years, the review will take place after the first 6 months of each year (reviewing delivery between 1 January and 30 June). Whilst the LCDC, as the Contracting Authority, is responsible for undertaking the mid-year (or in 2015, mid-plan) performance review, Pobal will also have a role in the process. The LCDC will carry out a review of the performance of the Programme Implementer by primarily assessing: Success in meeting: (1) the targets for the 2 key performance indicators set for the Lot by the Department (as evidenced by data input on IRIS); (2) the other SICAP headline targets (as evidenced by IRIS); Evidence of the targeting of supports/interventions using IRIS data on the profile of beneficiaries, membership of SICAP target groups and residence in areas defined as being disadvantaged; Progress in delivery against the set of actions agreed in the Annual Plan and the respective targets; Adherence to the SICAP budget requirements in respect of: (1) the total costs charged to each goal are within the required spend thresholds of the programme; (2) the total costs charged to Administration are not in excess of the % of the overall budget that was agreed as per the contract. Any other information that the LCDC might choose to collect relating to the performance of the Programme Implementer e.g. feedback from beneficiaries, qualitative information etc. 66

69 The LCDC may engage, as it sees fit, in discussions with the Programme Implementer about particular elements of its service delivery and targeting of supports, including any adjustments deemed necessary in order to fully deliver on the agreed action plan. Pobal will review the mid-year information submitted by Programme Implementers to ensure the financial requirements of the programme are being adhered to and that sufficient progress is being made in the implementation of the agreed Annual Plan. Pobal will also undertake a cross programme analysis to review patterns in delivery and outputs and assess value for money based on comparisons between Programme Implementer budgets and performance. This information will be provided to the respective LCDC and the Department. Pobal will also review the outputs and outcomes/progression data submitted by Programme Implementers to ensure that the headline targets set for the Lot have been met. Pobal will focus its review on ensuring that Programme Implementers continue to meet other SICAP requirements such as actively targeting supports to individuals from disadvantaged areas and designated SICAP target groups, along with individuals who have lower levels of educational attainment. Outcome of the Mid-Year Review The outcome of the mid-year review may deem that sufficient progress has been made in the first half of the year and that the LCDC is satisfied with the performance of the Programme Implementer. If, however, a Programme Implementer has failed to meet its mid-year targets or in any other way is deemed by the LCDC to have fallen short on the agreed Action Plan, the outcome of the mid-year review will be for the LCDC and the Programme Implementer to enter into a process of engagement. The purpose of this engagement is to ensure that the Programme Implementer provides appropriate explanations and assurances to the LCDC regarding its performance, and commits to any adjustments to delivery that are deemed necessary by the LCDC, in order to achieve the annual targets (or, in 2015, 9-month targets). The LCDC may choose to put in place a series of engagements/meetings with the Programme Implementer and/or additional updates/reporting as it sees fit to ensure sufficient monitoring of progress for the remainder of the year. 6.4 End of Year Report End of Year Report Programme Implementers will be required to complete and submit an end of year report on an annual basis; the template for this will be held within IRIS. The report will provide a commentary on the level of progress that has been achieved by the Programme Implementer in delivering the Annual Plan, meeting the agreed targets and expenditure against the approved budget. The deadline for the end of year reporting will be 10 working days from the end of the relevant period i.e. 31 st December; the approximate timeframes are outlined in Section 6.2. Programme Implementers are required to provide the following information as part of the end of year report: Non-Financial The level of progress that has been achieved in delivering the agreed set of actions and in meeting the agreed targets and objectives for each SICAP goal during the respective year; Details of any particular successes in delivery during the year; Commentary on the Programme Implementer s contribution to the horizontal themes underlying the SICAP programme; Clarification on any delays/challenges that may have arisen over the course of the year. Financial A finance report detailing the costs charged to SICAP. A charge should be reported against each budget heading, either where work has been carried out under that budget heading or a cost has been incurred. The costs should reflect the work that has been undertaken during the reporting period only. Costs can only be charged once for the same piece of work carried out under an action. 67

70 The end of year report will be assessed as part of the Annual Performance Review, which is outlined in the next Section (6.5). 6.5 Annual Performance Review Whilst Programme Implementers will receive a SICAP contract to cover the Programme period (up until 31 December 2017), this is subject to an annual performance review and meeting specific service targets. The LCDC, as the Contracting Authority, is responsible for undertaking the performance review and Pobal will have a support role in this. The annual performance review will take place in January, when the plan/delivery period has been completed and the Programme Implementer has checked and completed the data input on IRIS and has submitted the end of year report. The timeframes for completion of the annual performance review for the duration of the SICAP programme are outlined in Section 6.2. The process for completing the performance review will be standardised nationally, in order to ensure transparency and consistency. The principal criterion against which performance will be evaluated will be the successful delivery against the targets for the two key performance indicators for the Lot, as defined by the Department. In this respect, it is important to note that delivery against these targets will be directly linked to programme payments. The LCDC will also review progress in a more holistic fashion, taking other deliverables and data into account and may engage, as it sees fit, in discussions with the Programme Implementer about particular elements of its service delivery and targeting of supports. The LCDC will primarily assess the performance of the Programme Implementer by examining: Success in meeting: (1) the targets for the 2 key performance indicators set for the Lot by the Department as evidenced by data input on IRIS this criterion is directly linked to continuing payments (further detailed provided below); (2) the other SICAP headline targets as evidenced by IRIS; Evidence of the targeting of supports/interventions using IRIS data on the profile of beneficiaries, membership of SICAP target groups and residence in areas defined as being disadvantaged. Progress in delivery against the set of actions agreed in the Annual Plan and the respective targets. Adherence to the SICAP budget requirements in respect of: (1) the total costs charged to each goal are within the required spend thresholds of the programme; (2) the total costs charged to administration are not in excess of the % of the overall budget that was agreed as per the contract. Any additional information submitted by the Programme Implementer as part of its end of year report. In addition, the LCDC may assess annual performance using a variety of other methods such as: site visits, feedback from participants on SICAP funded interventions, the submission of case studies assessing progress 68

71 against the programme horizontal themes or areas of special innovation with target groups, and through other qualitative tools. Pobal will review the information submitted by Programme Implementers, to ensure that the financial rules of the programme are being adhered to and the level of progress against the agreed Annual Plan. Pobal will also undertake a cross programme analysis to review patterns in delivery and outputs and assess value for money based on comparisons between Programme Implementer budgets and performance. As part of this crossprogramme review, Pobal will have regard to performance in respect of the national target to be reached for ESF co-funded participants, including the national target for participants supported by the YEI in This information will be provided to the respective LCDC and the Department. Pobal will also review the outputs and outcomes/progression data submitted by Programme Implementers to ensure that the headline targets set for the Lot have been met. Pobal will focus its review on ensuring that Programme Implementers continue to meet other SICAP requirements such as actively targeting supports to individuals from disadvantaged areas and designated SICAP target groups, along with individuals who have lower levels of educational attainment. Following the review, Pobal will inform the LCDC of the outcome of the check. In situations where it is deemed necessary, for example as a result of failure to deliver against targets or comply with other programme requirements in relation to the targeting of supports, Pobal will make a recommendation to the Department in relation to recouping the funding that was made available for that Lot. Payments Linked to the Achievement of Targets set in the Annual Plan Ongoing receipt of SICAP funding by the Programme Implementer is directly linked to performance against the agreed targets for the two key performance indicators (see Section 4). The payments schedule is designed to facilitate the cash flow requirements of Programme Implementers to allow for the payment of regular bills such as salaries and overhead costs, whilst also linking payments to the achievement of the targets, where it is appropriate to do so. In a scenario where the targets set for a Programme Implementer have not been achieved, remedies will be applied on the following basis: 1. The total amount paid to the Programme Implementer will be recouped by a defined percentage that is directly linked to the proportional shortfall in delivery against the targets. Example: If the end of year report indicates that the Annual Plan targets have not been achieved, then a permanent reduction in payments is applied by the LCDC. The reduction is applied on the basis of an X% reduction in payments as a result of the same X% of the 2 key performance targets not being achieved. This will result in funds being recouped from Programme Implementers. 2. As per the contract between the LCDC and the Programme Implementer, further remedies can be applied by the LCDC including the cessation of the contract and legal recourse for non-performance by the Programme Implementer. As payments are being measured against the targets for the two key performance indicators. In the event of nonachievement of the targets, the weighting to be applied to each target in calculating a reduction in payments is as follows: 1/3 weighting to relate to the target for the number of local community groups assisted. 2/3 weighting to relate to the target for the number of Individuals engaged. Example: If 80% of the number of local community groups target is achieved and 90% of the total number of individuals target is achieved, then 87% of the total funding paid for the year is eligible, i.e. 80% * 1/3 + 90% * 2/3 = 87% but 13% of the funding paid for the year will be recouped. 69

72 Any amounts paid/due to be paid to the Programme Implementer for VAT costs charged to the Programme will also be reduced/recouped at the same % level, as that which will be recouped for the total of the quarterly payments made for the year. Outcomes of the Annual Performance Review The following outcomes for the LCDC s annual performance review have been agreed by the Department and separate guidance is issued on this process annually to LCDCs and Programme Implementers. 1) The Annual Performance Review is approved. 2) The Annual Performance Review is not approved. The LCDC will recoup funding from the Programme Implementer by a defined percentage that is directly linked to the proportional shortfall in the delivery against the targets set out in the contract. The process for the Programme Implementer to exit the programme will be negotiated with the Department, based on local circumstances. 70

73 Section 7: Communication and Publicity 7.1 Purpose Programme Implementers, including consortium members and sub-contractors, are required to publicise SICAP and acknowledge the funders in all related informational and publicity material. This plays an important role in recognising the contribution of the EU and to highlight and create a greater awareness of SICAP, to a wider audience both locally and nationally. In addition to publicising co-funding under the European Social Fund, Programme Implementers are required specifically to inform YEI participants at the commencement of a SICAP intervention that young people aged not in employment, education or training are receiving financial support with co-funding from the European Social Fund including a special allocation under the Youth Employment Initiative. 7.2 Contractual Requirement As detailed in the contract, it is a contractual requirement that clear acknowledgement is given to the financial support of the European Social Fund 18, including the YEI special allocation and the Department in relation to SICAP. Acknowledgement is required in all aspects of information provision, publicity/promotional material and dissemination activities. Programme Implementers are required to adhere to the Information and Communication Guidelines for European Structural and Investment Funds prepared by the Department of Expenditure and Public Reform, the European Social Fund Communications Strategy issued by the ESF Managing Authority, including any subsequent amendments to these documents (see Appendix 1). Failure to comply with the Information and Publicity Guidelines may result in the loss of funding. 7.3 SICAP Information and Publicity Material Programme Implementers should think strategically about how SICAP-funded interventions can best be communicated to the various stakeholders, which include the SICAP target groups, the community and voluntary sector, agencies within the statutory sector which have a remit around social inclusion, and the wider public. Programme Implementers may produce advertisements, posters, information leaflets, newsletters and/or host information sessions relating to a particular SICAP action(s), as well as ensuring up-to-date information is contained in a dedicated section within the organisational website. In terms of communicating the value of the work and highlighting achievements, Programme Implementers should consider dissemination events, reports, awards ceremony, press releases, etc. Pobal has prepared publicity information for the programme which PIs may find useful in raising awareness amongst the general public and attracting potential clients. PIs are encouraged to make full use of these materials. A short, fun video on SICAP (an infographic) explaining who it is for, how it works and how to find out more, is available on YouTube. An information leaflet has also been prepared which PIs can print out and add their contact details to; these could be left in reception areas and given to clients who have registered with SICAP. Banners for each SICAP goal have been designed and PIs are encouraged to use these when at relevant events or launches. The files can be accessed on the Pobal webpage here, or you can request the higher resolution file from your Development Co-ordinator should you wish to have them printed professionally. 18 Articles and Annex XIII of the EU Regulation No 1303/2013 relate to information and communication rules for the ESF In addition, Articles 3 5 and Annex II of the implementing EU Regulation 821/2014 are also relevant. 71

74 All publicity documentation (advertisements, press releases, articles) is subject to the prior written approval of the LCDC or the Local Authority. This should be done through agreement of a local protocol between the LCDC and the Programme Implementer The relevant information must be submitted to the LCDC for review in advance. Compliance with the information and publicity requirements will form a key part of any verification/ audit visits. To this effect, it is important for Programme Implementers to collate a hard-copy of all publicity material on an ongoing basis e.g. press-cutting, posters, press release, advertisements etc. 7.4 Use of Logos Programme Implementers are required to utilise the following logos in respect of SICAP. Ireland s European Structural and Investment Funds European Social Fund Department of the Environment, Community and Local Government SICAP In order to acknowledge the funding sources for SICAP the relevant logos must be used on all information and publicity materials and activities including (but not limited to): Publications/Literature; Application Forms/Brochures; Newsletters/Posters; Attendance Sheets; Invitations; Launches/Awards/Certificates; Conference & Materials; Exhibition(s) & Display Stands; Advertisements; Press Releases; Posters; Annual Reports; Videos/ DVDs/CD-Rom; Project Websites; SICAP Correspondence/Letterhead; Plaques; Advertisements & supplements; 72

75 EU Logos Programme Implementers must refer to two documents in regards to the use of EU logos (and other publicity requirements). These are: 1. Information and Communication Guidelines for European Structural & Investment Funds , published by the Department of Expenditure and Reform see link here, and; 2. The ESF Communications and Publicity Guidelines see link here. EU logos may be directly downloaded at these links. Please also refer to the examples in Section 7.6 of the relevant logos for use in promotional and information materials. Other Logos Programme Implementers can also use their organisational logo and that of any partner organisations at their own discretion, but these should be placed after the SICAP logo (if used on the same horizontal/vertical line). 7.5 Strapline to Acknowledge Funders All publications and information and publicity/promotional materials relating to SICAP (e.g. project documentation, posters, leaflets, reports) must contain the relevant logos with the following strapline: The Social Inclusion and Community Activation Programme (SICAP) is funded by the Irish Government and co-funded by the European Social Fund and includes a special allocation under the Youth Employment Initiative. 7.6 Example of the Acknowledgement of Funders Below is a suggested layout for the positioning of the relevant logos. Other layouts can be used as long as the correct logos are used and in the correct format. The Pobal logo is not required to be utilised and is inserted here for illustrative purposes. The LCDC /Local Authority logo could be placed in such a position. Please ensure you maintain the correct logo size and that the correct strapline wording is used. 73

76 Your publicity content here The Social Inclusion and Community Activation Programme (SICAP) is funded by the Irish Government and co-funded by the European Social Fund and includes a special allocation under the Youth Employment Initiative. 7.7 Other Information and Publicity Requirements Outlined below is an overview of the publicity requirements relating to specific types of publication. Organisational Website Programme Implementers are required to provide a short overview of SICAP in a dedicated section of their organisational website. This should include a brief synopsis of the aims, objectives and key priority actions. The financial support of the funders should be recognised by including both the acknowledgement text and the logos in the required format. This acknowledgement should be visible when landing on the website i.e. a user should not have to scroll to the end of the webpage to see the acknowledgement. Posters Programme Implementers are required to display a poster (minimum size A3), which acknowledges the financial support from the EU. The poster should be placed in a prominent location where it is visible to the general public, for example, the entrance/reception area of a building or the training room. Publications Any publications produced as a result of SICAP must adhere to the publicity requirements outlined in the DPER Information and Communication Guidelines for European Structural & Investment Funds (see link here) regarding the correct use of logos on the title page and a written acknowledgement of the funders. 74

77 Any research and policy-related publications associated with SICAP should also include a statement that the views contained in the publication do not necessarily reflect those of the EU, the European Social Fund, the Department of the Environment, Community and Local Government, Pobal or the LCDC/Local Authority. Press Releases/Articles It is important to emphasise that every article and/or press release relating to SICAP must provide clear acknowledgment of the sources of funding, particularly the contribution and support of the European Social Fund and Ireland s European Structural and Investment Funds. Projects are required to liaise with journalists to ensure that the final print copy includes the appropriate acknowledgement of the funders. The strapline in Section 7.5 is useful to provide to journalists to ensure that this requirement is met. Protocol for Publicity Events Programme Implementers who organise a publicity event such as a launch, conference, awards ceremony are encouraged to invite representatives from the Department of the Environment, Community and Local Government, the European Social Fund Managing Authority and European Commission officials to attend/officiate. 75

78 Section 8: Corporate Governance and Procedural Frameworks 8.1 Corporate Governance Corporate governance is the process by which a Board of Directors ensures that a company is effectively and properly run. It is the system by which companies, including not-for-profit companies and charities, are directed and controlled. The terms refers broadly to the rules, processes and laws by which businesses are operated and regulated and this equally holds true for not-for-profit organisations (Pobal, Managing Better Volume 1: Good Governance). The Board of Directors of Programme Implementers must ensure that the highest standards are sought and maintained in the operation and administration of all public monies awarded to them including SICAP funding. Programme Implementers are encouraged to apply Pobal s Managing Better Volume 1: Good Governance toolkit that provides guidance on good practice in corporate governance in the non-profit sector. The document is located here. Programme Implementers are also encouraged to adopt the Code of Practice for good governance of Community, Voluntary and Charitable Organisations in Ireland. Further information on the Code of Practice is available at Governing Documents Each Programme Implementer is a recognised legal entity and operates under the rules and regulations of their memorandum & articles of association, or rules in the case of co-operatives, as well as the Companies Acts 1963 to the 2014 Companies Act. The memorandum sets out the aims of the company, its powers to carry out these aims, a statement that the liability of members is limited and the names and addresses of the first members. The articles set out the rules on how the company is run, including items such as the election of directors, rotation of directors, roles of officers, keeping accounts, meetings, quorums, etc. Although these are usually drafted in dry, legalistic language, they are essential documents to the operation of a company and essential reading for CEOs and directors. It is advisable to keep a copy of the memo & articles (or rules) at hand during board meetings. The Companies Bill 2012 was enacted in December 2014 and commenced in June Programme Implementers should engage professional advice to make any changes to their company s constitution, as necessary under the newly amended Act. 76

79 Directors It is important that each company director is aware of Irish Company Law requirements and ensures that they are up-to-date in complying with them. Failure to comply with company secretarial obligations can result in prosecution and fines for both the company and the directors personally, strike off of the company from the Companies Register, and disqualification of the director from acting as a director in other companies. For detailed guidance on the responsibilities of directors, refer to the website of the Director of Corporate Enforcement at Register of Members and Directors The company must keep two registers which relate to: the Register of Members and the Register of Directors. These must be kept up to date. The registers should be kept at the company s registered office. Company Secretary As per Part 4, Section 129 of the Companies Act 2014, the directors of every limited company must appoint a company secretary, who can be one of the directors or a member of staff or body corporate, such as a law firm or accountancy firm, in contract for services with the organisation. The company secretary s role is to ensure that the organisation keeps to the company rules as set out in the Articles of Association, including the requirements of the Companies Office. There are quite a few such requirements, and it is important that the company secretary is very familiar with the relevant obligations and with the company s own Articles of Association. The company secretary can enlist professional help from the company accountant or solicitor to ensure that all the requirements are met. Further guidance on the company secretary s role is available on and also in Pobal s Managing Better Volume 1: Good Governance toolkit. Board of Directors The Board of Directors of each Programme Implementer are ultimately responsible for safeguarding the assets of their company. The Board of Directors should ensure that all significant decisions that affect the company are discussed and approved at board level. The Board of Directors must document and approve the policies and procedures that must be adopted by their staff members and sub-committees to ensure that the financial resources allocated to the programmes operated by the Programme Implementer are being used effectively and prudently in accordance with the public accountability requirements. In particular the documented policies and procedures of the Programme Implementer must ensure that value for money is always sought and achieved. Sub-Committee The Board may delegate a function of their responsibility to a sub-committee, where this is deemed appropriate. The terms of reference for all sub-committees must be clearly documented and approved at Board level to ensure the directors, as well as the sub-committees, are aware of the powers, duties, responsibilities delegated by the Board. The terms of reference must also outline all or any financial limits imposed by the Board to the decisions that can be taken by the sub-committee. All sub-committees must maintain comprehensive minutes of their meetings and the decisions approved. The sub-committees are required to submit a copy of their sub-committee meeting minutes to the Directors at Board meetings at regular intervals and provide explanations where requested. This will allow clarity and openness about how financial decisions are made, who makes these decisions and how they are implemented, monitored and reported on. Audit & Finance Sub-Committee Given the public accountability requirements under SICAP and based on national and international best practice in relation to corporate governance, each Programme Implementer is required to set up an Audit & Finance subcommittee to monitor and oversee all of the finances of the company to ensure the highest standards of good 77

80 financial management are implemented fully at all times. The membership of the Audit & Finance sub-committee must include the Chairperson or the Vice Chairperson of the Board of Directors as well as a minimum of two other Board members. At least one of the members on this sub-committee should have the necessary financial experience or qualifications. The Audit & Finance sub committee must be responsible for monitoring and reviewing the actual expenditure to the budgeted expenditure on a monthly basis and they must submit written reports to the Board of Directors in this regard. Reporting to the Board, Directors and Minutes In order to discharge their statutory and contractual obligations, it should be a normal part of the Board s business to consider, decide on and formally record the minutes of all Board and sub-committee meetings. The minutes must document all financial decisions. They should be clear, concise, impartial and free from ambiguity. The minutes must clearly list the names of directors present and other advisors or observers in attendance. The minutes should be signed and dated by the Chairperson following their review and acceptance. The minutes should be filed in a logical order and any documents discussed at the meeting (e.g. management accounts) should be filed along with the minutes. For further information, refer Pobal s to Managing Better Volume 1: Good Governance toolkit. Code of Conduct The directors must fully comply with the Ethics in Public Office Act, which requires a general ethos for all directors including loyalty, integrity, fairness, impartiality and independence etc. It is considered national and international best practice that all companies have a documented Directors Code of Conduct. For further information, refer to section 7 in Pobal s Managing Better Volume 1: Good Governance toolkit. Disclosure of Interests The Programme Implementer must have comprehensive documented procedures that enable them to identify situations where there may be possible conflicts of interest with any director, the company secretary or a key staff member. If a conflict of interest arises the Programme Implementer must ensure that the nature of this interest is formally disclosed and the conflict must be addressed and resolved, and is not allowed to persist in a manner that would have adverse effects or perceived adverse effects for the company. Aside from the Company Law obligations, it is in any event recommended as best practice that where a conflict of interest arises in a matter being discussed, that individual should formally declare the nature of their interest and absent him/herself from the discussion on the matter, and the minutes must record that this was done. 8.2 Procedural Frameworks Each Programme Implementer is required to have minimum standards and codes of practice which are relevant to the services to be delivered under SICAP these were as outlined in the tender submission under Criterion 2a. Complaints Procedure Programme Implementers must ensure they have put a complaints procedure in place which allows SICAP clients to submit complaints and receive reports on the outcome of the investigation of any such complaints submitted. The complaints procedure must include details of how it is proposed to record and process complaints, the timescales for handling complaints, and the means through which clients will be made aware of these processes and their outcomes. Code of Practice: Professional conduct and practice SICAP Implementers are required to have in place a code of practice for employees and any sub-contractors working on their behalf describing the standards of professional conduct and practice required of employees as they go about their daily work. SICAP employees and sub-contractors must: Protect the rights and promote the interests of SICAP users; Strive to establish and maintain the trust and confidence of clients; Promote the independence of clients, and vulnerable clients in particular, while protecting them as far as possible from danger or harm; 78

81 Respect the rights of clients while seeking to ensure that their behaviour does not harm themselves or other people; Uphold public trust and confidence in the Social Inclusion and Community Activation Programme; Be trained to a satisfactory level, be accountable for the quality of their work and take responsibility for maintaining and improving their knowledge and skills. The code of practice forms part of the wider package of legislation, practice standards and employers' policies and procedures. SICAP employees are responsible for making sure that their conduct does not fall below the standards set out by their employers and that no action or omission on their part harms the wellbeing or trust of the clients of the service. Child Data Collection, Protection Policies and Code of Practice Implementers must have child protection policies in place and a code of practice in relation to working with children and young people under the age of 18. All Implementers should have appropriate protocols for dealing with the registration of minors. Where a person is aged 15-18, parental consent is not necessarily required but the data controller must make a judgement on whether the young person can appreciate the implications of giving consent to provide information to SICAP. It is for the PI as data controller to use its own judgement, protocols and procedures when engaging with the year old cohort on a one-to-one basis. The PI must ensure that the minor (particularly those aged 15) has sufficient maturity to understand and make their own decisions about their personal data under SICAP. This requires making sure the young person knows why certain questions are being asked, where the information is being stored and how it will be used etc. Appropriate staff and volunteer vetting procedures should be in place for all SICAP funded staff proposing to work with children and young people. A child protection policy is only of real value if it is implemented through induction and training of staff and volunteers, and ensuring that parents and children know that there is a policy in place, and by acting on the procedures as outlined. The policy is only the beginning of a process to develop good practice and regular reviews should take place to ensure the policy is working. 8.3 Data Obligations and IRIS Data Protection and Personal Data Plan Personal client privacy is of the utmost importance to the successful delivery of SICAP. Information that may pass to the Programme Implementer as part of SICAP will include personal data and may include sensitive personal data, as defined in the Data Protection Acts 1988 and The Programme Implementer (including any entity that provides the services) must satisfy themselves that they are compliant with obligations as set out by the Office of the Data Protection Commissioner for Ireland which may include registering with that authority. During the delivery of services, they must maintain a robust end-to-end data protection regime in relation to the discharge of its obligations. Programme Implementers are required to have in place a Personal Data Plan which sets out the arrangements within the organisation for ensuring the security of personal data at all times. This should reflect the methodology submitted by tenderers under Criterion 2. The Programme Implementer as an authorised data controller agrees to comply with registration requirements as Data Controller under S.I. No 657 of 2007, and the Data Protection Acts of 1988 and 2003 and other relevant statutory provisions. Please refer to the Data Protection section in the SICAP contract for the full requirements of Programme Implementers regarding data protection. Definitions and Responsibilities The information below is based on the SICAP Data Protection Addendum to the Funding Agreement, issued on May 15 th 2015 to LCDCs. The Programme Implementers are classified as data controllers in the Social Inclusion and Community Activation Programme. Data refers to electronic and other forms of data (paper files etc.). The Office of the Data Protection Commissioner has verified the classification of Programme Implementers as data controllers. 79

82 A Data Controller is someone who is responsible for a person s data and who must make sure that the data is processed according to the law. Personal data means data relating to a living individual who is, or can be, identified either from the data or from the data in conjunction with other information that is in, or is likely to come into, the possession of the data controller. Consent is required regarding permission to process the data, disclose the data to other local service providers and consent on sensitive data. A sample consent form is available from the SICAP webpage. Programme Implementers may wish to tailor this sample form for their own particular needs as they may be asking other questions not sought by the programme. Programme Implementers must satisfy themselves as to their data protection obligations as any consent forms provided by Pobal are purely given on a guidance and sample basis. Programme implementers should ensure that indivdiuals are aware that their records/consent forms may be viewed as part of external programme audits for the purpose of verifying records etc. Such on the spot verifications or audits may be conducted by Pobal or agents of the Funders and the Contracting Authorities. Individuals have the right, given by the Data Protection Act of 1988 and 2003, to a copy of their personal information at any time. Programme Implementers should accommodate such requests immediately and in line with their Codes of Practice on Data Protection. As a matter of transparency such Codes of Practice should be readily accessible on the company s website. Programme Implementers must ensure that their written agreements with any consortium members, subcontractors etc. reflect at a minimum the data protection requirements set out. The lead/prime contractor is ultimately responsible for ensuring that requirements are met. Programme Implementers must satisfy themselves as to their responsibilities as data controllers. Neither the funders, the Contracting Authority or Pobal have any duty to inform Programme Implementers of their responsibilities in such matters. Data Processors Both Pobal and its External IT Provider (ERGO (formely known as isite) are data processors. Pobal are the owners of the IRIS system and it is made available to SICAP for use by the data controllers (the Programme Implementers). Pobal staff do not have access to personal data but do have some processing functions with respect to future programme surveys/evaluations, system administration functions or requests with ICT problems experienced by system users. Similarly the External IT Provider, as system developers, has access to the system. Both Pobal and the External IT Provider have a responsibility to keep personal data secure from unauthorised access, disclosure, destruction or accidental loss. Both parties are registered as data processors with the Office of the Data Protection Commissioner. For the purpose of maintenance and support, the IRIS System Administrators and the External IT Provider (ERGO) has full access to the database holding personal information. The External IT Provider developed the database and is contracted to provide ongoing maintenance support to Pobal and future enhancements and modifications to system functionality. Under the service framework agreement the External IT Provider are defined data processors of the information and are bound by the Data Protection Acts 1988 and Access to the system is password protected. The list of usernames and passwords for all external users is held on a Pobal network and is password encrypted. No other Pobal staff member has access to individual personal data or usernames/passwords. System Users The following organisations have access to the IRIS system. Access is granted in line with the requirements of their role: 80

83 Programme Implementer - finance staff and development workers LCDC/LA management DECLG programme managers ESF/YEI Authorities including Certifying, Audit and Management Authorities Pobal development coordinators/team leader Pobal monitoring officers/team IRIS System Users Provide PI contact details, staffing and office locations Provide Programme Implementer registration details Develop annual plan and record details including goals, actions, targets and costs Input details in relation to all beneficiaries supported, including profile information, details of all supports and interventions delivered and progression/outcomes Input details of board members On a regular basis capture details of work carried out, including outputs and costs incurred On an annual basis input qualitative details on the progress and challenges for each action on the annual plan Access reporting system to generate/review local programme information Access to full beneficiary information Primary responsibility for co-ordinating, planning and overseeing SICAP funding, the appraisal and on-going implementation of the annual plan Input mid year and annual headline targets for each LCDC/Lot Input LECP objectives Input details of payments to PIs Access reporting system Staff names and roles, including access to CVs No access to personal beneficiary information (names & contact information etc.) - anonymised data only The SICAP programme falls under the remit of the Department of Environment, Community and Local Government. The Department will have no direct input into the running or management of the SICAP system but may require access to reporting tools An annual SICAP budget will be allocated by the DECLG to each Lot No access to personal beneficiary information (names & contact information etc.) - anonymised data only The SICAP programme is co-funded under ESF. The various EU bodies will not have any formal input into the day to day operation of the SICAP system but may require access to reporting tools and or seek reports from bodies along the cascade in relation to ESF supported actions No access to personal beneficiary information (names & contact information etc.) - anonymised data only The IRIS system may be linked in 2016 to a ESI Funds e-cohesion monitoring and reporting system Review annual headline targets for each LCDC/Lot Carry out technical review of annual plans Review progress on outputs and costs incurred and feed back to the LCDC Access reporting system Staff details including staff salary information (not CVs) No access to personal beneficiary information (names & contact information etc.) - anonymised data only Review completeness/quality of data being captured and feedback any concerns to the LCDCs 81

84 leader Provide annual progress reports at a national level for the Department Provide ad hoc reports as requested Inputting national KPIs and headline targets No access to personal beneficiary information (names & contact information etc.) - anonymised data only Pobal finance staff/team leader Pobal management Financial management co-ordinating and oversight role for SICAP to monitor and review the costs incurred by PIs and ensure that financial guidelines are adhered to Input annual budgets for each Lot Access to key financial reports Staff details including staff salary information (not CVs) No access to personal beneficiary information (names & contact information etc.) - anonymised data only Access to key reports and information provided as part of annual plan No access to personal beneficiary information (names & contact information etc.) - anonymised data only Pobal ICT Support Provide ICT support including system availability and user connectivity issues No access to personal beneficiary information (names & contact information etc.) - anonymised data only Pobal IRIS System Administrators DATA Processors External IT Provider (ERGO) DATA Processors System development support Full access to all data on the database by staff with authorised access no other administrator in Pobal has such access Work carried out by system administrators is on behalf of Programme Implementers System administrators may follow up with clients of the programme where consent is given for the purpose of programme surveys/evaluations System development support Full access to all data on the database to carry out necessary online support and maintenance Access is secure and available only to those with authority IRIS Security Roles Security Role Programme Implementer - Finance Programme Implementer - Monitoring LCDC Chairperson LCDC Finance/ Admin Description Create/Write access to most entities and at PI level. No delete access for any entities but ability to Deactivate. Create/Write access to all monitoring related entities and Read Only access to financial entities. No delete access for any entities but ability to Deactivate. Read Only at LCDC level with create/update access to specific entities such as Notes, Internal Notes etc. Read Only access at LCDC level for most entities, with create/write access to some specific entities such as PI Payments, LECP Objectives, Notes, Internal Notes etc. 82

85 DECLG Pobal Management Pobal Development Coordinator Pobal Finance Officers Pobal Monitoring Officers Pobal ICT Support Pobal IRIS System Administrators isite System Developers Read Only access to most entities at organisational level with create/update access to specific entities such as Notes, Internal Notes etc. Read Only access to all entities at organisational (global) level. Read Only access at Organisational level for most entities with write access to some specific entities such as Annual Plan Notes and Internal Notes. Read Only access at organisational level for most entities with create/write access to some specific entities such as Annual Plan and create/write access to Notes and LCDC Internal Notes. Read Only access at Organisational level for all entities. Create/Write access to Notes and LCDC Internal Notes. Full access at organisational level for purpose of system administration and maintenance. No delete access for any entities but ability to Deactivate. Full access to all related entities for purpose of system administration and maintenance. No delete access for any entities but ability to Deactivate. Full access to all related entities for purpose of system administration and maintenance. No delete access for any entities but ability to Deactivate. 83

86 9.1 Programme Support Section 9: Points of Contact / Further Support From 1 st April 2015 a dedicated Pobal staff member was assigned to each LCDC to provide on-going support, address any specific queries and provide clarifications where needed. Contact details for the staff member have been communicated separately to each LCDC Chief Officer. SICAP Programme Implementers should liaise with the LCDC Chief Officer on any programme related queries or if further support is needed on programme implementation. In some cases, the Chief Officer may appoint another member of staff to primarily liaise with the Implementer and this will be communicated by the Chief Officer. All other programme queries should be referred to sicap@pobal.ie. 9.2 Training, Support and Guidance Materials Pobal will deliver training and support sessions to both LCDCs and Programme Implementers on the following areas: Programme Requirements; IRIS Support and Training; Other specific training as required. Pobal will undertake to deliver support and training to Programme Implementers and LCDCs on common themes that are emerging from the delivery of SICAP and will also provide relevant guidance and support documents, as required. 9.3 Other Specialised Supports Pobal will provide details separately on organisations that can play a support role with LCDCs and Programme Implementers on the engagement of SICAP core target groups. 84