Programme Planning and Assessment Process 2011
Table of Contents Introduction An integrated response to the application of the 3 The Programme Life Cycle 4 Strategic Planning 5 Strategic Plan Structure 5 Further guidance on key elements of the strategic plan 5 Area Profiling 5 Development of Local Objectives 6 Anticipated Outcomes 7 Identification of strategies and actions to achieve local objective statements 7 Expected Indicators of Progress 7 Baseline Statements 7 Information about the planning process 8 Additional documentation to be provided 8 Endorsement of Strategic Plans by County/ City Development Boards (CDBs) 9 NDP horizontal themes 9 Assessment of Impact on specific beneficiary groups Equality Proofing 9 Strategic Planning Assessment 10 The Appraisal Process 10 Appraisal Criteria 11 Assessment Process Outcomes 13 Table of Figures Figure 1 Programme Life Cycle 4 Figure 2 Stages of the strategic plan assessment process 10 2
Introduction An integrated response to the application of the Local and Community Development Programme (LCDP) The benefits of an integrated approach towards service planning and delivery has become a consistent policy message. From a beneficiary group perspective, it is about timely, responsive, holistic and effective service delivery to the most disadvantaged individuals, groups and communities. From a funding perspective, it is about effective targeting, minimising duplication, delivering value for money and demonstrating impact. The Department of the Environment, Community and Local Government (The Department) National framework defines the Programme s aims. The four overarching goals should be understood and operationalised as inter-related. It is possible that one or a number of local objective statements associated with particular goals could be met through a variety of strategies and actions which may be linked to one or more goals. The following example is used to illustrate the point. A higher than average number of Lone Parents have been identified in a particular RAPID area. This particular group of beneficiaries also have low levels of completion of formal education which is being attributed to a higher incidence of poverty and social exclusion experienced by them. The Local Development Company (LDC) has identified a range of reasons why this may be the case. Research into this issue has highlighted some models of support that may be useful in addressing the educational needs of lone parents. Based on these findings, and the outcomes required by the National Framework (Increase awareness and uptake of formal and informal educational opportunities for children, young people and adults) the LDC sets local objective statement to: Increase awareness and uptake of post compulsory accredited education for lone parents from areas x,y,z by 2014. Whilst this may be primarily a Goal 2 Objective (Increase formal, informal and educational, recreational and cultural activities and resources), the issue of a higher than average incidence of lone parents in a particular area is multifaceted and will involve a range of actions to meet the objective set. It may require a range of education and training actions (thereby meeting indicator for Goal 2 - number and % of people participating in LDC supported educational activities over a 12 month period) but it may also involve access to appropriate services for example childcare (thereby indicator for Goal 1 level of client s uptake of specified services i.e. childcare). The local objective statement will be aligned to on primary goal (in the above example Goal 2). The actions utilised to meet this objective may come from other goals and may meet other goal indicators. For further information in relation to this please see strategic planning guidance available on the Pobal website. So in summary each LDC will: 1. Apply the framework to develop a small number of local objective statements (a maximum of between 8-10). Each local objective statement will be linked to one of the four Programme Goals. Each local objective statement will meet at least one of its assigned goal outcomes. 2. A range of activities will be identified and delivered to meet local objectives set. Actions will be identified under a particular goal. Outputs of the actions developed will contribute towards national Programme participation rates. 3. Pobal will use IRIS (Integrated Reporting and Information System) to capture some information on actions being delivered. LDCs will complete progress reports in relation to actions being delivered. 3
4. LDCs will record any other information that may not be captured by IRIS through their own monitoring and evaluation processes. Additional data capture mechanisms may be developed to aid local input into the National Evaluation of the Programme. The following sections of this guide will explore the programme cycle and set out requirements for the development of a strategic plan. The last section of this guide outlines Pobal s appraisal criteria and process for endorsing strategic plans. 5. Pobal will monitor on an ongoing basis LDCs progress towards the achievement of outcomes. The Programme Life Cycle It is important to see the strategic planning process as a key element in the life cycle of any programme. Figure 1. Programme Life Cycle National Programme Needs Identification and Needs Analysis Monitor and evaluate strategies and activities New Monitoring System & National Evaluation Framework Local application of National Objectives Strategic Review and Planning Process Carry out activities identified to meet Objectives Annual Plan Identify Resources, develop 3 year strategic plan Identify/outline Implementation Strategy with indicative actions 4
Strategic Planning The strategic planning process provides LDCs with the opportunity to: Reflect on existing work; Create a socio-economic profile of the area; Identify new and emerging trends; Identify and address the needs of beneficiary groups; Include the priorities of the National Programme; Translate this information into a plan to be implemented for the period 2011 2013. Given that strategic planning is key to the successful implementation of LCDP the following section identifies, in more detail the elements to be included in strategic plans delivered by LDCs. The section provides clear guidance as to what exactly is to be included. It is also important to refer to the definition of Community Development 1 in relation to the value of both task and process. The plan delivered will be assessed on the quality of how it was developed, as well as what it includes. Strategic Plan Structure The Strategic Plan developed by LDCs should be no longer than 40-50 pages excluding appendices. A strategic planning format will be developed by Pobal and this will be available for use by LDCs. Further guidance on key elements of the strategic plan Area Profiling This part of the strategic plan will provide a synopsis of how work priorities have been identified under each of the four goals. Identification of need will be undertaken using a combination of two approaches. The first of these is taking stock and the second is analysis of key issues and priorities. Taking Stock In broad terms, this involves undertaking an assessment of the environment that LDCs are working in currently. The LCDP is a new national Programme and sufficient thought needs to be given to what the current situation is and what types of needs exist that may legitimately be supported within the new Programme remit. LDCs will undertake the following: A. Socio-Economic and Demographic Profile of the area the types of information that may be reflected upon here would be: i) Use of Pobal Maps to target areas and identify trends in the level or areas of disadvantage; ii) Identification of new trends through other local resources available; iii) Demographic profile of the area (to include profiling of beneficiary groups of the programme); iv) Socio-economic profile of the area (to include summary of existing industries, services, agriculture and land use, tourism, main social, cultural, environmental activities and programmes. B. A profile of service provision in the area and relationships with providers (to include state agencies, private sources, community organisations, 1. See Programme guidelines for definitions of Community Development 5
voluntary groups etc). Identify gaps in service provision/ or what else needs to be done. C. Information on the level of organisation and development activities of community organisations and groups including changes over time, participation of disadvantaged groups. D. Review previous work / research undertaken. E. Consultation with stakeholders to support the above exercises and to support the identification of baseline problems or issues. Evidence of consultation with relevant beneficiary groups and communities is a requirement of the programme. Similarly consultation with groups that provide services to beneficiary groups of the LCDP must also be consulted with. Pobal will develop guidance on consultation requirements within the Programme for use by LDCs. Following the collection and collation of data, it is important to identify those issues that will have the greatest impact on the beneficiary groups and communities of the Programme. It might be helpful to use the acronym STEEPLE (Social, Technological, Environmental, Economic, Political, Legal, Equality). This will encourage a wider trend analysis, looking from the outside in, rather than limiting the strategic development process by being inwardly focused. Analysis of Key Issues and Priorities (Area SWOT) This process will identify community strengths as well as problems and issues to be addressed. Analysis of situations often includes a SWOT Analysis (Acronym for considering the communities /organisation s strengths and weaknesses and the opportunities and threats faced by the communities/ organisation). During this analysis, organisations may also use a variety of assessments, or methods to measure the health of systems. It should: Identify ways to overcome weaknesses; Build on strengths; Take advantage of external opportunities; Minimise the threats; and End with a summary statement of need and a list of the key issues and challenges faced by the area. Development of Local Objective Statements LDCs will utilise the data gathered through the needs identification phase to apply the National Programme framework and translate it into a limited number of local objective statements. There is a recognition that resources are limited and that there are already a range of statutory and community agencies providing services. LDCs need to lead out on a small number of key strategic objectives which define their workload. This may involve direct service provision, support with access to other services or coordination of activities that will meet longterm objectives. LDCs must be realistic in terms of what can be achieved within a three year timeframe, and what can legitimately be attributed to LCDP. A small number (a maximum of 8-10) of local objectives will be developed. Each local objective statement will be aligned to a primary Programme goal. Each local objective statement will contribute to at least one outcome assigned to the Goal that the objective statement is aligned to. It may be possible that an objective statement can meet outcomes from more than one Goal. A local objective statement may also focus on a) A geographic area; b) A beneficiary group or groups. The analysis should be consistent with the priorities of the four national goals of the Programme. 6
It is anticipated that linking actions together in clearly targeted local objective statements will have a greater and more visible impact. For more information in relation to developing local objective statements, or to view some example local objective statements please consult LCDP Programme Guidelines and strategic planning guidance notes provided separately to this document. Anticipated Outcomes For each local objective statement defined, LDCs will be requested to identify the National Programme Outcomes that will be met. It is possible that a local objective statement can meet a goal outcome from a different goal to that which the statement is aligned to. For further guidance on this issue please refer to LCDP Programme Guidelines example of local objective statements. Identification of actions to achieve local objective statements The identification of a range of indicative actions will identify how the local objective statement will be achieved. For each local objective statement, LDCs will develop a list of actions and related work that will be undertaken. Expected Indicators of Progress LDCs will select from the menu of National Programme Indicators the most appropriate indicators of impact based on the strategies and actions they are proposing to implement. LDCs will be required to set quantitative/ qualitative targets for each indicator that they choose within the strategic plan. These may be numeric e.g. Number of people supported or they may be statement based such as level of satisfaction with employment services received. Baseline Statements Baseline statements provide information about the trend, situation or condition prior to a programme or intervention. These can be both quantitative and qualitative and identifies the starting point for work. LDCs will establish a baseline for each indicator based on the best available information to hand. The data that is available to set baselines should also inform targets set for indicators of the Programme. 7
Information about the planning process A key consideration in the appraisal of the Programme planning process will be to what extent beneficiary groups have been involved in the development of strategic plans. The process will provide a space to develop mutually beneficial relationships between people in communities, LDCs and agencies, where community interests and views are represented in the plans developed. It is for this reason that information on the planning process undertaken is requested. Further guidance on the planning process is available on the Pobal website. Additional documentation to be provided Outlined below are further information requirements which will aid the thorough assessment of strategic plans submitted. These are: 1. Details of parent/related companies 2. A list of registered directors (as per companies registration office), the sectors and organisations they represent, last rotation 3. The overall number of staff including titles/ roles, and sources of funding 4. List of names, roles and location of LCDP staff only 5. Management structures including substructures of the board, frequency of meetings, and working groups 6. A list of members of advisory councils and community fora 7. Information on outreach offices (where applicable) 8. Other information as required within the strategic planning format issued to LDCs separately to these guidelines. 8
Endorsement of Strategic Plans by County/ City Development Boards (CDBs) County and City Development Boards have been tasked through the National Development Plan 2007 2013 (NDP) with continuing their oversight role in relation to coordination and implementation of social inclusion strategies at a regional level. LDC s strategic plans will be endorsed by CDBs. Guidance for CDBs will be issued by Pobal. NDP horizontal themes The NDP highlights a number of horizontal themes (see Programme guidelines). These are balanced regional development, development of the rural economy, environmental sustainability, all Island cooperation, and Gender equality. Some horizontal themes will impact more than others and will depend on the geographic location of LDCs. It is important that LDCs ensure the themes are reflected in the development of strategic plans and that innovative work developed and delivered by LDCs that will impact upon the themes is highlighted. Assessment of Impact on specific beneficiary groups Equality Proofing Equality Proofing involves placing equality at the centre of decision making. Equality Proofing is not a new concept to LDCs who for many years have been required to proof strategies. This facilitates the establishment of an equality dimension to all objectives. It refers to assessing the impact of plans on groups experiencing inequality, resourcing participation of those affected by inequality and focusing attention on equality outcomes. This Programme is about the achievement of equality objectives for beneficiaries. In its most basic form Equality Proofing is undertaken in the following way: 1. LCDP Beneficiary group/ area baselines comprising of qualitative and quantitative information are identified; 2. Indicators of progress for beneficiaries are identified by LDCs; 3. Outcomes against which to assess the overall impact of the Programme and; 4. Mechanisms and procedures to collect data on the impact of the Programme on beneficiary groups/ areas are identified. The equality dimension of each goal is identified within the Programme guidelines. It will continue to be a requirement to equality proof all strategies and actions implemented. However this should flow naturally from both the design of the framework and requirements in place through the strategic planning process. A further requirement of the Programme is evidence of Gender Proofing of strategic plans. (see appendices of Programme Guidelines) 9
Strategic Planning Assessment The Appraisal Process Figure 2. Stages of the strategic plan assessment process: Submission Submission by Local Development Company of strategic plan to Pobal (Regional Case Officer) once it has been endorsed by City/ County Development Board Initial Assessment Regional team will carry out an initial assessment of the strategic plan. They may contact the LDC to request clarification on particular points or seeking additional information. Appraisal Meeting Appraisal meeting will require meeting with Chair of LDC Board, CEO & Pobal Regional Team Leader and Regional Case Officer. Further discussions and clarifications in relation to the plan will be outlined. Recommendations from this meeting are provided to the LCDP Appraisal Committee. LCDP Appraisal Committee Meeting The Regional Team will present appraisal findings with recommendations to the LCDP Appraisal Committee. This will be made up of representation from the LCDP Programme team, Pobal Board Members and representatives from the Department of the Environment Community and Local Government. Decision/ Mechanism for Review A decision on the strategic plan will be made (recommended/part recommended subject to pre contract conditions/ deferred ongoing funding subject to changes/non-recommendation) and mechanisms put in place to allow for the development of an annual plan. LDC have right to appeal decision. 10
Appraisal Criteria A specific set of appraisal criteria has been devised to allow a transparent assessment of Area Strategic Plans, after they are submitted. It is important to note that certain criteria carry additional marks or receive a priority weighting. LDCs will need to achieve a minimum of 60% against each appraisal criterion. The following criteria have been agreed by the Department and Pobal to be used to assess Strategic Plans: 1. Level of consultation with beneficiary groups Evidence of meaningful consultation with appropriate stakeholders under each goal; Evidence of meaningful consultation with CDP organisations (including any advisory groups of former CDPs and CDPs operating under other Department sanctioned models); Evidence of commitment to meaningful participation of beneficiary groups in identifying needs and defining responses within strategic plan; and Evidence of how the consultation process has informed the strategy and actions of the plan. 2. Quality of Needs Analysis Evidence of awareness of policy context of social inclusion priorities; Evidence of awareness of changes in the population/ levels of disadvantage in particular areas, emergence of new forms of disadvantage; Evidence of awareness of social and infrastructure profile which impacts on social inclusion; Evidence of awareness of changes in demographic profile; and Evidence of awareness of changes in service provision. 3. Evidence that the plan will deliver outcomes and priorities identified under the LCDP Framework Evidence that strategies and actions proposed by LDCs are aligned to Programme outcomes and be measured by National Programme Indicators; and Evidence of appropriate resource balance between high priority outcomes and those assigned lesser priority. 4. Quality of the plan measured against the analysis of needs of the area, objectives set and outcomes proposed, taking into account the priorities and opportunities relevant to each local context. (Priority Weighting x 2) Prioritisation of front line service provision; The fit between the analysis of need outlined and the objectives and outcomes identified; That proposed strategies and actions are of sufficient quality to deliver on National Outcomes given needs identified, capacity of the group and available resources. Evidence of appropriate levels of outreach based work in communities based on needs identified. Evidence that a concerted effort was made in the plan to respond to national priority outcomes. 5. Targeting of the strategy and actions on places and beneficiary groups experiencing the greatest level of disadvantage and social exclusion. (Priority Weighting x 2) Evidence of awareness of under represented beneficiary groups and outcomes associated with remedying this; Evidence of prioritisation of CLÁR/RAPID areas; Appropriateness of the focus of beneficiary group work i.e. matching responses to real as opposed to perceived situation of beneficiary groups; 11
Evidence that proposed intervention is aimed at empowering of the communities with whom it engages e.g. evidence that activities are provided by, with and not just for beneficiary groups; Evidence of actions to respond to new or emerging needs of identified beneficiary groups; and Evidence that objectives aimed at promoting access, participation and outcome are being supported/initiated. 6. Evidence of partnership and coordinated work with mainstream agencies, community and voluntary organisations/groups (key planning and policy structures), local development organisations and specifically the City/County Development Board in the Development of Plans Evidence that the plan conforms to CDB Social Inclusion Strategy and is endorsed by the CDB; Linkage and collaboration with RAPID and CLÁR as relevant; Evidence of collaboration with other agencies including statutory agencies; Evidence of interagency and inter sectoral working; Expertise and resources are being committed to the development of area strategies and coordinated responses; Evidence of integrated/ collaborative activity with community organisations; Evidence of continued support where appropriate of CDP activity; and Demonstration of contribution of, or collaboration with social partners. Evidence of the relevance of participation on key planning and policy structures to Programme outcomes. 7. Evidence of Value for Money (Priority Weighting x 2) Evidence of LDCs capacity to meet locally translated beneficiary participation rates using strategies and actions defined; Evidence of LDCs ability to demonstrate capacity to leverage funds from other sources. 8. Evidence that plans meet national policy priorities Evidence that proposed outcomes will meet horizontal priorities of the National Development Plan where applicable (with the exception of Social Inclusion which is implicit in formulation of plan); Evidence of contribution to NAPSInclusion targets; Evidence of appropriate targeting and equality proofing of plans; and Evidence that the LDC has incorporated the principles of equality into corporate governance structures to ensure that beneficiary groups are appropriately represented at all levels. 9. The capacity of the group to implement the plan and achieve stated objectives (Priority Weighting x 2) Performance of the group to date (to include quality and timeliness of Programme reporting requirements); Evidence of financial controls and accounting procedures; Evidence of Board Structures to enhance participation and allow for integration of CDPs; Evidence of appropriate staffing structures to implement, administer and manage the programme; Evidence of compliance with any audit issues raised; 12
Evidence of performance, monitoring, management, reporting and evaluation structures. Evaluation of performance of LDC to date; and Evidence that systems will adequately capture information on the qualitative and quantitative indicators of the Programme. Assessment Process Outcomes The following outcomes of the appraisal process have been agreed by the Department and Pobal: 1. The strategic plan is recommended. The recommendation may be subject to certain pre-contract conditions being met. These conditions will vary between LDCs. For example, they may relate to actions proposed for annual plan, beneficiary group, participation strategies etc. If the plan is recommended, its overall quality will determine the level of funding allocated for the development of annual plans. 2. The strategic plan is deferred. In this instance the quality of the plan or other aspects of the LDC s performance to date have not been deemed sufficient to warrant full recommendation. A minimum agreed running cost will be provided to the LDC for six months to allow ongoing work to be completed and the quality aspects of the plan or operational issues to be addressed. 3. The strategic plan and/or the performance of the LDC to date are not considered acceptable and a recommendation is made to the Department to cease funding under the Programme to the LDC and the LDC exits the Programme. The process for exiting the Programme will be negotiated based on local circumstances with the Department. 13
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