SICAP: Programme Requirements 2016

SICAP: Programme Requirements
2016
Social Inclusion & Community Activation Programme
2015 - 2017
Version 1.5
Table of Contents
List of Acronyms ................................................................................................................... 3
Overview of the SICAP Programme Requirements ................................................................. 4
Version Update ...................................................................................................................................................... 4
Section 1: SICAP Programme Overview ................................................................................. 5
1.1
What is the Social Inclusion and Community Activation Programme? ..................................................... 5
1.2 Horizontal Themes ........................................................................................................................................... 6
1.3 Timeframe ....................................................................................................................................................... 7
1.4 SICAP Funding .................................................................................................................................................. 7
1.5 EU Funding ....................................................................................................................................................... 7
1.6 Defining Roles in the Operating Structure....................................................................................................... 7
Section 2: Approaches to Tackling Disadvantage and SICAP Beneficiary Groups .................... 10
2.1 Adopting a Dual Approach to Tackling Disadvantage.................................................................................... 10
2.2 Primary and Secondary Target Groups .......................................................................................................... 11
2.3 Area-based Approach .................................................................................................................................... 11
2.4 Issue-based Target Groups ............................................................................................................................ 15
2.5 SICAP Focus Groups ....................................................................................................................................... 17
2.6 Age Categories ............................................................................................................................................... 19
Section 3: The SICAP Framework and Client Engagement ..................................................... 20
3.1 Goal 1: Empowering Disadvantaged Communities ....................................................................................... 20
3.2 Goal 2: Lifelong Learning ............................................................................................................................... 25
3.3
Goal 3: Employment ................................................................................................................................ 32
3.4 Client Engagement: From registration to ongoing engagement ................................................................... 39
Section 4: Monitoring ......................................................................................................... 44
4.1 Framework of SICAP Indicators ..................................................................................................................... 44
4.2 SICAP Programme Beneficiaries .................................................................................................................... 46
4.3 IRIS Database ................................................................................................................................................. 46
4.4 Performance Monitoring/Reporting.............................................................................................................. 47
Section 5: Finance ............................................................................................................... 53
5.1 Eligible Costs .................................................................................................................................................. 53
5.2 Payment Instalments ..................................................................................................................................... 54
5.3 Reporting of VAT Costs .................................................................................................................................. 54
5.4 SICAP Budget Changes/Revisions .................................................................................................................. 55
5.5 Management of SICAP Funding ..................................................................................................................... 55
5.7 Audit/Verification .......................................................................................................................................... 61
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5.8 Financial Reporting ........................................................................................................................................ 61
Section 6: Annual Planning and Reporting ........................................................................... 62
6.1 Annual Planning Process................................................................................................................................ 62
6.2 Overview of the SICAP Reporting Requirements .......................................................................................... 64
6.3 Mid-Year Report/Review ............................................................................................................................... 65
6.4 End of Year Report ......................................................................................................................................... 66
6.5 Annual Performance Review ......................................................................................................................... 67
Section 7: Communication and Publicity .............................................................................. 70
7.1 Purpose .......................................................................................................................................................... 70
7.2 Contractual Requirement .............................................................................................................................. 70
7.3 SICAP Information and Publicity Material ..................................................................................................... 70
7.4 Use of Logos................................................................................................................................................... 71
7.5 Strapline to Acknowledge Funders ................................................................................................................ 72
7.6 Example of the Acknowledgement of Funders ............................................................................................. 72
7.7 Other Information and Publicity Requirements ............................................................................................ 73
Section 8: Corporate Governance and Procedural Frameworks ............................................ 75
8.1 Corporate Governance .................................................................................................................................. 75
8.2 Procedural Frameworks................................................................................................................................. 77
8.3 Data Obligations and IRIS .............................................................................................................................. 78
Section 9: Points of Contact / Further Support ..................................................................... 83
9.1 Programme Support ...................................................................................................................................... 83
9.2 Training, Support and Guidance Materials .................................................................................................... 83
9.3 Other Specialised Supports............................................................................................................................ 83
Appendix 1: European Social Fund Co-Financing .................................................................. 84
Appendix 2: Operational Protocol between DECLG and DSP ................................................. 87
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List of Acronyms
ADM
Area Development Management
BTEI
Back to Education Initiative
BTWEA
Back To Work Enterprise Allowance
CTC
Community Training Centre
CTI
Central Technical Institute
DECLG
The Department of the Environment, Community and Local Government
DEIS
Delivering Equality of Opportunity in Schools: the Action Plan for Educational Inclusion
DES
Department of Education and Skills
DPER
Department of Public Expenditure and Reform
DSP
The Department of Social Protection
ESF
European Social Fund
ESIF
European Structural and Investment Funds
ETB
Education and Training Board
EU
European Union
IRIS
Integrated Reporting and Information System
ITT
Invitation to Tender
LCDC
Local Community Development Committee
LCDP
Local and Community Development Programme
LCG
Local Community Group
LDSIP
Local Development Social Inclusion Programme
LECP
Local Enterprise and Community Plan
LEOs
Local Enterprise Offices
LLL
Life-long learning
NEETs
Young people aged 15- 24 years who are Not in Employment, Education or Training
NESC
National Economic & Social Council
NFQ
National Framework of Qualifications
PEIL
Programme for Employability, Inclusion and Learning
PLC
Post Leaving Certificate Course
PPN
Public Participation Network
PPSN
Personal Public Service Number
QN
Quantitative
QL
Qualitative
SA
Small Area
SAPS
Small Area Population Statistics
SPC
Strategic Policy Committee
SICAP
Social Inclusion and Community Activation Programme
STEA
Short-Term Enterprise Allowance
VTOS
Vocational Training and Opportunities Scheme
YEI
Youth Employment Initiative
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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 2015-2017.
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 1.5 which replaces V1.4 which was issued on the 22nd December 2015. This is the clean version
of the document. In the highlighted version changes to the text 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.
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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) 2010-2014, 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.
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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.
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.
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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: 1st April 2015 to 31st December 2017.
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) 2014-2020, will
contribute co-funding to support individual SICAP participants aged between 15-24 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) 2014-2020.
In 2015, the YEI will co-fund SICAP programme participants aged 15-24 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 15-24 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.
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.
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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
Figure 1: SICAP Operating Structure
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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 each Lot has a specific target for the proportion of
the SICAP caseload - for individuals and local community groups - which 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:

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








Children and Families in Disadvantaged Areas
Lone Parents
New Communities - including refugees/asylum seekers
People living in Disadvantaged Communities
People with Disabilities
Roma
The Unemployed - including those not on the Live Register
Low Income Workers/Households
Travellers
Young unemployed people living in disadvantaged areas
NEETs – Young people aged 15- 24 years who are not in employment, education or training (see Appendix
1)
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. Or someone in a low paid job and living in a disadvantaged area.
10
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
2000-2006) 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.
A target has been set for each Lot which gives the proportion of the SICAP caseload - for individuals and local
community groups - which 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.
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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.
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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.
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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 1956-82. 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 2010-2030 in the Gaeltacht. It is responsible under the Act for
supporting communities to prepare and implement language plans in 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:

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

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:
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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.
14
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.
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.
15
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
the State by reason of an enduring physical, sensory, mental health or intellectual impairment.”
SICAP also promotes a wider definition1 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
actively seeking work. The unemployed includes individuals who are registered as unemployed i.e. on the
Live Register. For the purposes of SICAP it also includes those who are not on the Live Register e.g. they
might be classified as ‘economically inactive’ so may be people who are at home full-time with caring
responsibilities, or who are no longer actively seeking employment, on disability payments etc.
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.
Low Income Workers/Households
People or households are considered to be at risk of poverty when their income is less than a particular
threshold. The SICAP programme recognises that there are a number of individuals and households
continuing to experience difficulty due to low income levels in the household, the precarious nature of their
employment situation or livelihood in the case of the self employed such as farmers. Persons may also be
receiving in-work financial supports from the state e.g. Family Income Supplement, Transitional Payment or
Farm Assist Etc.
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
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.”www.who.int/topics/disabilities/en/
16
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 15-24 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 15- 24 years who are not in employment, education or training
Young people aged 15-24 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 2015. 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
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 SICAP Focus Groups
Gender Equality in SICAP
‘Gender equality is achieved when women and men enjoy the same rights and opportunities across all sectors of
society, including economic participation and decision-making, and when the different behaviours, aspirations and
needs of women and men are equally valued and favoured’ (Gender Equality Division, Dept. of Justice and
Equality).
Women are frequently disadvantaged by policies and practices in Irish society that do not recognise their different
realities and experiences, such as unequal and lower pay, a greater share of care responsibilities, barriers to
advancing into leadership positions, and gender-based violence. These realities, specific to women, have been
largely shaped and influenced by cultural and societal norms. While it is important not to categorise women as a
minority group, it is essential to recognise the gendered nature of women’s roles in society and to tailor budgets,
policies, plans and programmes accordingly. Tackling disadvantages experienced by target groups requires
appropriate - and often specialised – positive action mechanisms to support them in overcoming the particular
barriers they encounter. To achieve gender equality, the different needs of men and women must be recognised.
Some women may be experiencing disadvantage, double or cumulative disadvantage as a result of being a woman
and also being a member of a target group or disadvantaged community.
Assisting marginalised and socio-economically disadvantaged women to enjoy full participation in public life and
address inequality are key objectives of SICAP. Women are not listed as a separate target group because they
are eligible under the existing target groups and the gender equality principle, which is one of the 3 core principles
that underpins all SICAP work, should be inherent within each of these target groups. For example, as women are
more likely to work in low paid sectors such as retail and hospitality, the focus on low income workers in SICAP will
assist disadvantaged women. Women head the vast majority of one-parent families so will be supported in SICAP
as lone parents. Approximately 45% of SICAP participants in the first 9 months of SICAP were female, this will
closely be monitored by Pobal and DECLG to ensure equal and active participation of all disadvantaged women by
all PIs.
17
PIs need to ensure that they are pro-active in targeting women and design specialised actions for women, including
young women in the ‘NEET’ (not in education, employment or training) category, particularly in Goal 3 actions where
they are likely to have lower levels of participation. Under LCDP, work with women tended to occur under Goal 1
and Goal 2. Increased engagement with women would support the equality theme cutting horizontally across
SICAP to promote an equality framework with a particular focus on gender equality and anti-discrimination
practices.
The gender equality principle in SICAP requires PIs not just to implement positive actions through the programme,
but also to ensure it is reflected in their own internal practices regarding their employees and relationships with subcontractors and suppliers etc. This will depend on PIs reflecting on their human resources processes to tackle
unconscious gender bias and to create a workplace where both women and men can advance into leadership
positions.
Mechanisms that have been widely recognised as useful to achieving gender equality through operations and
programmes include:





Carrying out a needs assessment of women and men to establish their specific needs within a programme
or the workplace and to collate relevant data in this regard;
Carrying out a qualitative and quantitative assessment of programmes and initiatives to establish their
impact on men and women, through consultations with staff, clients and other stakeholders;
Developing budgets, processes and procedures with the twin objectives of addressing the particular needs
of women and men and achieving equality between women and men;
Engaging external gender expertise to support the roll-out of these mechanisms;
Developing gender awareness and expertise within the organisation both at an operational and a
programmatic level (this could also be included under the third horizontal theme in the requirements
document).
LCDCs should be monitoring PI engagement with women and ensuring that their needs are being met e.g. literacy
and numeracy for women, female entrepreneurship supports. LCDCs and PIs should collaborate with local and
national organisations offering specialised supports and representation for women such as - the National Women’s
Council of Ireland; National Collective of Community-based Women’s Networks; Women’s Resource Centres;
Women’s Aid; Community Based Women’s Groups/Projects, and Family Resource Centres. Goal 1 can be utilised
to ensure a community development approach is taken to support women’s groups and ensure their active
participation in SICAP and the wider community development.
People who are homeless or experiencing housing exclusion
About 2.5% of people supported in the first 9 months of the programme indicated that they were homeless (the
actual number could be higher as there was a high number of no responses). This includes people who do not
have a roof over their head, are living in temporary shelters or they may be facing eviction and living in
accommodation which is insecure or inadequate. This is a significant increase on the numbers who presented to
LCDP as homeless.
Homelessness has become a critical problem in recent years as rents have risen and there has been a shortage of
supply. Initially limited mainly to urban areas, it is now becoming increasingly common across the country. It is
likely that someone who is homeless or living in insecure accommodation already falls within the SICAP target
groups e.g. they may be unemployed or not on the Live Register, may have a disability, or they could be living in a
disadvantaged area. They will therefore be eligible for SICAP supports in this way. It is important that homelessness
is recorded on the registration form as this will demonstrate levels of engagement with this group of people who
are very far from mainstream supports.
LCDCs should consider whether homelessness is a priority issue for the locality and they should work accordingly
with the programme implementer to ensure that supports are being offered. PIs should be pro-active in engaging
with people experiencing homelessness perhaps via outreach and street work, and may provide assistance such
as coping strategies, employment supports, or education and training needs. PIs should also create partnerships
and synergies with homeless charities and agencies to provide wrap-around assistance for its clients and direct
them to places where they can receive specialised help e.g. local authorities, tenancy associations and voluntary
18
housing associations. Goal 1 of the programme can be utilised to ensure a community development approach is
taken to this serious issue.
2.6 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 15-24 years (see Appendix 1). From 2016, remaining ESF co-funding
will be available to all eligible SICAP participants aged between 15-24 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 15-24. More information is provided on the registration process in Section 3.4.
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.
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
development2 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.
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 development3
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.
See the box below for how local community groups are defined in SICAP.
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 groups and
facilitate their progression along the community development matrix which comprises four stages – see graphic
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.
2
21
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).
22
OBJECTIVE G1.1:
To support and promote the community engagement of disadvantaged target groups across the life-cycle
Outcomes
Headline Indicators
G1.1.1 Local needs are more fully identified, co- 1. No. of local community groups that are
assisted under SICAP in Goal 1 (QN) by
ordinated and represented through more
type of community groups if:
meaningful area-based planning and service
*please note a minimum of 2 interventions is
delivery: this includes groups which had not been
required within the current year
previously engaged.
 Primarily issue-based or area-based
G1.1.2 Increased engagement by local
 If issue-based, issue for which they are
community groups in community development
advocating
issues relating to social inclusion and equality.
 If area-based, spatial area which they are
representing
G1.1.3 Local community groups work with
SICAP target groups to bring about increased
participation in social, cultural and civic activities.
Programme Indicators
1. Level of involvement4 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
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.
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:
G1.2.2 Local community groups have greater capacity
to address the needs of the disadvantaged communities
which they represent.



The types of supports
Their stage in the structured progression path of development
model5
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
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:
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)


Level of involvement
Type of involvement e.g. EU/international
structure, information sharing, local
structure
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 (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
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)
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/public services
supported to put anti-discrimination and equality
measures in place (QN)
4. 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
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
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 2014-19 (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
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
life-long 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
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
OBJECTIVE G2.2:
To support individuals from target groups experiencing educational disadvantage to participate in life-long learning
opportunities
Outcomes
Headline Indicators
G2.2.1 Increased participation by people
experiencing educational disadvantage in life-long
learning opportunities.
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
G2.2.2 Increased progression by people
experiencing educational disadvantage along the
life-long learning continuum.
Programme Indicators
2. No. of individuals who have progressed along
the education continuum9 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.
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.
9
29
OBJECTIVE G2.3:
To provide supports to children and young people11 from target groups who are at risk of early school leaving and/or are not in
employment, education or training (NEETs)
Outcomes
Headline Indicators
G2.3.1
Increased
collaboration
between
community and statutory stakeholders in
developing holistic approaches to address early
school leaving.
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).
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.
Programme Indicators
1.
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 (QL)
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) 12.
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 15-18 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
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.
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.
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.
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
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
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.
Programme Implementers may also wish to deliver initiatives for individuals in employment but who are low income
workers and/or living in low income households. The outcome here should be in assisting them in progressing into
more sustainable, better quality jobs, or from part to full-time employment. For a definition of low income
workers/households see the SICAP registration manual. The objective of a PI when supporting the low income
target group could be to assist them in upskilling and moving into a better quality job e.g. by accessing training
courses, getting help with their business, giving career guidance or improving CV and interview skills. It does not
include giving grants and financial assistance e.g. for on-farm supports or to purchase equipment.
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”.
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), MicroFinance 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 grants and loans schemes.
What is a social enterprise?
A social enterprise is an enterprise:
I.
II.
III.
IV.
that trades for a social/societal purpose;
where at least part of its income is earned from its trading activity;
is separate from government; and
where the surplus is primarily re-invested in the social objective.
33
Forfas (2013), Social Enterprise in Ireland: Sectoral Opportunities and Policy Issues
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
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
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.
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
1. No. of attendees (non-caseload adults) at
employment information events held by SICAP
Implementer (by number of events) (QN)
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
4. Estimate no. of new jobs created by employers
for SICAP clients as a result of engagement with
SICAP Implementer (QN)
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 Those in-work and on a low income are
assisted to move into more sustainable, better
quality employment.
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)
2. Level of engagement with employers by SICAP
Implementers e.g. organise job placements,
attend recruitment fairs, provide mentoring for
individuals (QL)
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)
5. No. of new partnerships/initiatives (Structures &
Networks) formed between SICAP Implementer
and employers (QN)
35
OBJECTIVE G3.2:
To support SICAP target groups and youth in becoming self-employed and sustaining this
Outcomes
Headline Indicators
G3.2.1 Individuals are better informed of local 1. No.
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.
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)
Programme Indicators
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
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
1. No. of social enterprises (LCGs) assisted
under SICAP (QN)
1. No. of initiatives (Structures & Networks) aimed at
promoting, developing and/or sustaining social
enterprises by SICAP Implementer by type of
support (QN):
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.
a. Networking supports
b. Staff training
c. Support with accessing
grants/funding/leveraging
d. Advice on operational issues e.g. HR, spotting
opportunities, financial management
2. No of local community groups given SICAP
funding to assist social enterprise by:
a. Amount of funding (QN)
3. No. of new social enterprises (LCGs) established
by:
a. Business sector (QN)
b. 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):
a. Additional income generated (QN)
b. Additional jobs created (QN)
c. Providing services which improve the quality
of life in the community (QL)
37
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
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.
Headline Indicators
There are no headline indicators
for this Objective.
Programme Indicators
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
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 part of Pobal’s
performance monitoring role to LCDCs to ensure that programme beneficiaires are receiving ongoing
developmental supports).
39

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, email, telephone no.
Registration/Consent
3.
4.
5.
6.
7.
Consent to record personal data
Consent to record sensitive data
Consent to share data with local service providers
Consent for future contact for surveys/evaluation
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.
14.
15.
16.
Lone parent
New communities
Nationality*
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.
Persons under 18 years are considered to be minors. If receiving a SICAP support on a one-to-one basis, 15 -18
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.
40
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.
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
41
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 nonnative 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
0
Level of Proficiency
No proficiency
Speaking
No practical speaking proficiency
Reading
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
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.
42
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, email
Contact details – name of contact person, email & 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 2015. 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
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
Goals
2&3
1
1
2
2
Headline Indicator
1
2
3
4
5
6
2
2
2
3
3
3
7
8
9
10
11
12
3
3
3
3
13
14
15
Total number of disadvantaged individuals (15 years upwards) engaged under SICAP on a oneto-one basis (KPI)
Number of local community groups assisted under SICAP (KPI)
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
 70% of those targeted should have educational attainment of Leaving Certificate or lower
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
Goal 2 educational support
 80% of those targeted should have educational attainment of Leaving Certificate or lower
Number of young people (aged 15-24) who have progressed (along the education continuum)
after registering with SICAP
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:
 60% of those targeted should have educational attainment of Leaving Certificate or lower
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
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
Goal 3 employment support
 70% of those targeted should have educational attainment of Leaving Certificate or lower
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
Number of young people (aged 15-24) progressing to self-employment up to 6 months after
receiving a Goal 3 employment support
Number of social enterprises assisted under SICAP
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 15 – 24 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 15-24 years from
2016.
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
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.
45
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
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
46
the planning and monitoring of SICAP and for evidencing progression against programme objectives. It is a
customised online Microsoft Dynamics CRM14 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:









14
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.
Customer Relationship Manager
47
Key Stages in Performance Monitoring
•Headline targets set by the Department (per Lot)
Pre-Plan
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
•Review of progress made in first half of year/plan
•Assessment of progress against Mid-Year Targets
Mid Year
Review
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
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.
2.
Total number of disadvantaged individuals engaged under SICAP on a one-to-one basis.
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 2014 - 2020 programming period
(respectively, Regulation nos. 1303/2013 and 1304/2013) lay down the requirements for monitoring of ESF co-
49
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 2015.
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 intervention15. 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 unemployed16
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
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
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 2015.
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.
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Section 5: Finance
This section sets out the key financial management requirements relating to SICAP. It covers the following items:
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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 lifetime 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.
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SICAP Goal Apportionment
In relation to the actions (direct) costs, the Department has agreed the following percentage apportionment
across the three SICAP goals:
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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):
2015
Quarterly Payments
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.
2016 and 2017
Quarterly Payments
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
Will be made following the approval of the mid-year report by the LCDC.
October - December
Quarterly Payment
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:
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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.
54
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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.
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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:
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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: www.etenders.gov.ie.
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.
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
55
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 cofunding, including the YEI special allocation. In particular, Programme Implementers should note that all ESF cofunded 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 cofinanced 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 www.esf.ie.
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.
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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.
 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.
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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:
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All clients of the fund must be from a SICAP target group.
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.
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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:
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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 2014-2020 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.
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).
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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:
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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
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 31st December financial year-end this
would mean that the financial statements must be submitted to Pobal on or before the 30th 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.
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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.
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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.
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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.

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.
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Section 6: Annual Planning and Reporting
6.1 Annual Planning Process
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
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
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 particular points.
17
In the first review period of SICAP, the targets must be equal to those proposed in the Programme Implementer’s tender submission.
63
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, reassessed 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 2017.
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 9month duration of the programme.
Timeframes for Progress Reports to be Submitted by Programme Implementers
Year
2015
2016
Report
Period Covered by Report
Deadline for
Submission of Report
LCDC Performance
Review Completed by
Mid-Plan
1 Apr 2015 - 31 Aug 2015
Mid Sept 2015
End Sept 2015
End of Year
1 Sep 2015 - 31 Dec 2015
Mid Jan 2016
Mid Feb 2016
Mid-Year
1 Jan 2016 - 30 Jun 2016
Mid Jul 2016
End Jul 2016
64
2017
End of Year
1 Jul 2016 - 31 Dec 2016
Mid Jan 2017
Mid Feb 2017
Mid-Year
1 Jan 2017 - 30 Jun 2017
Mid Jul 2017
End Jul 2017
End of Year
1 Jul 2017 - 31 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.
65
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. 31st 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.
The end of year report will be assessed as part of the Annual Performance Review, which is outlined in the next
Section (6.5).
66
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
against the programme horizontal themes or areas of special innovation with target groups, and through other
qualitative tools.
67
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 2015. 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.

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.
68
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.
69
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 1524 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 Fund18, 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 2014 – 2020 prepared by the Department of Expenditure
and Public Reform, the European Social Fund Communications Strategy 2014 – 2020 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.



18
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.
Articles 115 – 117 and Annex XIII of the EU Regulation No 1303/2013 relate to information and communication rules for the ESF 2014 –
2020. In addition, Articles 3 – 5 and Annex II of the implementing EU Regulation 821/2014 are also relevant.
70
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;
71
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 2014-2020,
published by the Department of Expenditure and Reform – see link here, and;
2. The ESF Communications and Publicity Guidelines 2014-2020 – 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) 2015-2017 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.
72
Your publicity content here
The Social Inclusion and Community Activation Programme (SICAP) 2015-2017 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 2014-2020 (see link here)
regarding the correct use of logos on the title page and a written acknowledgement of the funders.
73
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.
74
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 www.governancecode.ie.
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 2015. Programme Implementers
should engage professional advice to make any changes to their company’s constitution, as necessary under the
newly amended Act.
75
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 www.odce.ie.
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 www.odce.ie 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
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
76
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;
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;
77

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 15-17 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 2003. 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 15th 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.
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.
78
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 2003. 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:
IRIS System Users
Programme
Implementer finance staff and
development
workers



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
79






LCDC/LA
management







DECLG programme
managers



ESF/YEI
Authorities
including
Certifying, Audit
and Management
Authorities



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
Pobal
development
coordinators/team
leader






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
Pobal monitoring
officers/team
leader

Review completeness/quality of data being captured and feedback any concerns
to the LCDCs
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




80
Pobal finance
staff/team leader





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
Pobal
management


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


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


External IT
Provider (ERGO)
DATA Processors



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
Description
Programme
Implementer Finance
Create/Write access to most entities and at PI level. No delete access for any
entities but ability to Deactivate.
Programme
Implementer Monitoring
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.
LCDC Chairperson
Read Only at LCDC level with create/update access to specific entities such as
Notes, Internal Notes etc.
LCDC Finance/
Admin
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.
DECLG
Read Only access to most entities at organisational level with create/update access
to specific entities such as Notes, Internal Notes etc.
Pobal
Management
Read Only access to all entities at organisational (global) level.
81
Pobal
Development
Coordinator
Read Only access at Organisational level for most entities with write access to some
specific entities such as Annual Plan Notes and Internal Notes.
Pobal Finance
Officers
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.
Pobal Monitoring
Officers
Read Only access at Organisational level for all entities. Create/Write access to
Notes and LCDC Internal Notes.
Pobal ICT Support
Full access at organisational level for purpose of system administration and
maintenance. No delete access for any entities but ability to Deactivate.
Pobal IRIS System
Administrators
Full access to all related entities for purpose of system administration and
maintenance. No delete access for any entities but ability to Deactivate.
iSite System
Developers
Full access to all related entities for purpose of system administration and
maintenance. No delete access for any entities but ability to Deactivate.
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Section 9: Points of Contact / Further Support
9.1 Programme Support
From 1st 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 [email protected].
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.
83
Appendix 1: European Social Fund Co-Financing19
Introduction
The European Social Fund (ESF) for Ireland will contribute a total of €36 million to support individual SICAP
participants aged 15-24 years under the Programme for Employability, Inclusion and Learning (PEIL) 2014 – 2020.
The ESF includes a special allocation under the Youth Employment Initiative (YEI) in 2015 and which is dedicated
to young people not in employment, education or training. 20
The ESF is one of five European Structural and Investment Funds (ESIF, 2014-2020) established by the European
Union and managed by the European Commission under shared arrangements with Member States. Between 2014
and 2020, four of these funds will support the achievement of Europe 2020 objectives agreed by the European
Union for Ireland.
Ireland’s national Partnership Agreement describes the use of the ESIF (2014–2020) and their management by
Irish Government Departments. A joint monitoring committee made up of the relevant Managing Authorities of each
of the funds is co-ordinated by the Department of Public Expenditure and Reform, which has overall policy
responsibility for the development and implementation of the Partnership Agreement for Ireland and sets out the
overarching management and control procedures for the funds.
The Department of Education and Skills has primary responsibility for the ESF Managing Authority and the ESF
Certifying Authority in Ireland. Day to day responsibility for the implementation of co-financed operations rests with
appropriate government departments and statutory bodies e.g. DECLG with respect to SICAP.
In dedicating co-funding to the 15-24 age cohort under SICAP, the ESF has two main aims:
1. To promote social inclusion and combat discrimination in the labour market for young people (PEIL priority
2).
2. To support the sustainable integration into the labour market of young people not in employment, education
or training by means of a special allocation under the Youth Employment Initiative (PEIL priority 4).
PEIL Priority 4 - YEI and the national definition of NEETs
YEI was designed to support young people in Europe’s regions who are worst affected by youth unemployment
and is dedicated to young people aged between 15-24 years who are not in employment, education or training
(NEETs). A national definition of eligibility for YEI (NEETs) allows for a decision to be made locally as to whether a
SICAP participant aged between 15-24 years - at the date of being recorded as a SICAP participant - is eligible for
the YEI special allocation in 2015 and must be strictly adhered to. The YEI evaluation being conducted in late 2015
will allow for a decision by the European Commission in 2016 as to the basis for YEI continuance. As described in
ESF Circular 1/2015, YEI co-financing is claimable for a young person if the person is:
19
20
1.
Not less than 15 and under 25 years of age, and,
2.
Not in employment. This can include persons that meet any of the following criteria:
i.
On fulltime Jobseekers payments or credits, One Parent Family Payment, Disability Allowance
or Illness Benefit. This can include persons eligible for fulltime Jobseekers payment or credits
due to lack of work even if registered as self-employed, or,
The information provided in this Appendix is subject at all times to amendment by the ESF Managing Authority and the ESF Certifying
Authority.
This figure includes national and ESF co-funding, as well as a special allocation being made available under YEI in 2015.
84
ii.
iii.
That have not been in employment for 312 days or more in the previous 18 months (which is
equivalent to national thresholds for entitlement to unemployment welfare payments) or in receipt
of earning less than €9,776 (€188x52) in the previous 12 months (which is the current standard
unemployed single person’s welfare allowance). This allows for some ‘casual work’ in the period
prior to entering the YEI operation, or,
That have self-certified or self-declared that they are not in employment/inactive. A record must
be available from the relevant body to demonstrate this self-certification or self-declaration.
3.
Not in fulltime education leading to an accredited qualification. This can include persons that meet any
of the following criteria:
i.
On fulltime Jobseekers payments or credits, One Parent Family Payment, Disability Allowance
or Illness Benefit. This can include person eligible for fulltime Jobseekers payment or credit due
to lack of work even if registered as self-employed, or,
ii.
On work experience programme where fulltime accredited education is not an element of the
programme, or,
iii.
From disadvantaged groups that maybe registered for, though not necessarily actively
participating in, fulltime accredited education that have demonstrated (e.g. through needs and
risk assessments) the necessity for more focused supports to tackle the risk and needs identified,
to better prepare them for the labour market and improve their employment prospects, or,
iv.
That have self-certified or self-declared that they are not in formal fulltime education. A record
must be available from the relevant body to demonstrate this self-certification or self-declaration.
4.
Not in fulltime training leading to an accredited qualification. This can include persons that meet any of
the following criteria:
i.
On fulltime Jobseekers payments or credits, One Parent Family Payment, Disability Allowance
or Illness Benefit. This can include person eligible for fulltime Jobseekers due to lack of work
even if registered as self-employed, or,
ii.
On work experience programme where fulltime accredited training is not an element of the
programme, or,
iii.
From disadvantaged groups that may be registered for, though not necessarily actively
participating in, fulltime accredited training that have demonstrated (e.g. through needs and risk
assessments) the necessity for more focused supports to tackle the risk and needs identified, to
better prepare them for the labour market and improve their employment prospects, or,
iv.
That have self-certified or self-declared that they are not in formal fulltime training. A record must
be available from the relevant body to demonstrate this self-certification or self-declaration.
Some key points
The European Commission (EC) takes any necessary measures to ensure that the European Structural and
Investment Funds 2014-2020, including the ESF and the YEI special allocation, are accounted and spent by
Member States in compliance with the EU’s financial rules.
The Certifying Authority will have a new responsibility to provide an opinion of claims before these are sent to the
European Commission and have reiterated that there is a strict 2% ceiling on financial errors, above which
corrective action must be taken. A risk management approach will involve improved analysis to monitor and to
manage potential claims and audit problems. The European Commission increasingly links results and financial
claims and payments as part of a Value For Money approach. Another key trend is a move towards e-cohesion i.e.
the development of web-based systems for collection and analysis of financial and participant data. This new IT
system is currently being specifiied and will draw required ESF reporting data directly from IRIS when the system
is rolled out in 2016.
Issues such as a lack of timesheets or incomplete attendance records at training events were mentioned as
examples of relatively simple problems which can and should be readily addressed from the outset. According to
the ESF Certifying Authority for Ireland, the main causes of errors in ESF financial claims include the following:

Ineligible expenditure costs / participation
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


Inadequate management verifications
Insufficient documents to support costs
Non-compliance with Public Procurement regulations
Programme Implementers can reduce the risk of these errors occurring by having regard to the information already
provided in this document and also to the ESF specific resources indexed in the following section of this Appendix.
Programme Implementers are responsible for informing themselves of the national ESF Eligibility Rules (Circular
1/2015) and other requirements e.g. for communications and public procurement and the development of a common
IT system. These can be found at www.esf.ie and Programme Implementers should bear in mind that these are
occasionally updated.
New logos and publicity requirements have been established for the ESIF 2014-2020 and for the ESF 2014-2020,
and both are relevant for SICAP, as described in Section 7 of this document. In particular, the ESF Managing
Authority emphasise the importance of publicising the ESF at the level closest to programme participants. At a
practical level of knowledge, participants in an ESF co-funded activity should have a clear understanding that they
are receiving support from the European Social Fund. In addition, YEI participants must be informed of the Youth
Employment Initiative special allocation and a verbal statement to this effect must be made to participants as part
of YEI co-funded activities in 2015.
Links to relevant EU documents and additional practical guidance for ESF and YEI
In the main sections of this document, reference has been made to relevant governing and guidance documentation
on the ESF, including the special allocation to the YEI. These core governing documents are indexed below,
together with additional resources which may be of benefit to Programme Implementers considering individual
cases in detail. Please note that national ESF website is the primary source of up to date information on the
implementation of the ESF in Ireland.
Core ESF Governing Regulations, Rules and Guidelines



European Union: EU Regulation Nos. 1303/2013 and 1304/2013 – both available at eurlex.europa.eu/homepage.html
Department of Public Expenditure and Reform: Circular 13/2015 Management and Control Procedures
for the European Structural and Investment Funds Programmes 2014-2020 and Information and
Communications Guidelines for European Structural and Investment Funds 2014-2020 – both available
at: http://www.per.gov.ie/en/eu-cohesion-policy-2014-2020/
Department of Education and Skills: ESF Eligibility Rules Circular 1/2015, Communications and Publicity
Strategy Guidelines 2014-2020, monitoring and evaluation guidance documents and FAQ resource are
available at: http://www.esf.ie/en/eu_regulations_2014-2020.aspx
Additional EU Guidance Resources



European Commission DG EMPL: Information on the ESF and the Youth Employment Initiative –
available at http://ec.europa.eu/social/home.jsp?langId=en
European Commission: Information on Europe 2020, including progress made towards Irish targets –
available at http://ec.europa.eu/europe2020/index_en.htm
European Commission DG REGIO Guidance for practitioners on the avoidance of the most common
errors in public procurement of projects funded by the European Structural and Investment Funds –
available at http://ec.europa.eu/regional_policy/en/policy/how/improving-investment/public-procurement
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Appendix 2: Operational Protocol between DECLG and DSP
Operational Protocol between the Department of the Environment, Community and Local Government
and the Department of Social Protection regarding referrals to the Social Inclusion and Community
Activation Programme
23rd September 2015
The Department of Social Protection (DSP) recognises the Social Inclusion and Community Activation Programme
(SICAP) and its contribution to the National Employment Activation Plan and Pathways to Work. SICAP aims 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.
This is an informal and voluntary operational protocol which has been prepared in order to specifically state a
need for collaboration and cooperation at the national, regional and local levels between DSP staff and SICAP
Programme Implementers (PIs) in order to ensure that SICAP can complement current activation service provision
and ensure it adds value. At its core is the need for clarity on information sharing between DSP local case officers
and PIs. This protocol is presented in a spirit of relationship building and to ensure improved joined up thinking
and approaches to activating people locally and playing a developmental role. This is within the landscape of local
management and decision making around SICAP by Local Community Development Committees which are the
contract holders for SICAP.
The operational protocol is in place until October 2016, subject to review by both Departments, in conjunction
with Pobal and an ILDN representative. The protocol is a flexible commitment and can be terminated at any stage
by either party (with sufficient notice given) if it is deemed to be unhelpful by either party. It sets out below
proposed responsibilities under this agreement which primarily relate to information sharing.
Responsibilities under the Operational Protocol
Under this protocol, DSP case officers undertake to inform Intreo clients of relevant options and services available
to them under SICAP. It is at the discretion of the case officer, depending on local priorities and Intreo clients, as
to whom is referred as long as the individual meets the programme eligibility criteria as set out in the SICAP
Programme Requirements. However, the expectation is that DSP case officers will prioritise at this point in time
the following target groups: youth, lone parents; people with disabilities; new communities. This may be reviewed
depending on local, emerging needs. Those referred may or may not be on the Live Register.
Intreo case officers will contact their local SICAP PI informing them that an individual/individuals has been referred
as being suitable for a SICAP intervention and has been informed of same, sharing the appropriate details with
the PI.
This operational protocol recognises that there is no conditionality tied to a SICAP support. However it is fully
accepted that SICAP must support, and be viewed as supporting, the DSP Intreo intervention in the case of a Job
Seekers Allowance/Benefit client. This does not detract from the fact that SICAP is a voluntary, additional
support service with a community development ethos which should complement statutory DSP services.
The SICAP Programme Implementers agree to provide the relevant DSP case officer with an update on the
progress of the individual referred. They will provide details as to whether they presented at the PI for a SICAP
intervention, whether they were registered, and their status in terms of active or inactive within SICAP (following
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PI data control and data consent protocols). The frequency of this update will be decided locally at the discretion
of the case officer and PI SICAP officer.
At a national level, Pobal will provide the DSP national office with nationally aggregated (anonymised) data on the
number of individuals who were referred and registered with the service and their status (active or inactive), as
recorded on the IRIS monitoring system. This information will be provided on a quarterly basis to DSP. Likewise,
it is intended that referrals to SICAP from DSP will be recorded by DSP on its reporting system (ACM). When this
functionality is in place, and when an individual is referred to SICAP by a DSP case officer, the case officer will
record this on the system. This information will be used as fact checking against the data entered on IRIS to ensure
accurate reporting on referrals and can also be used to assess the numbers of individuals referred but who did
not present.
More generally, SICAP Programme Implementers (PIs) will undertake to raise awareness among Intreo case
officers regarding the suite of options available locally within SICAP which may be of benefit to Intreo clients. This
will be done by means of presentation sessions locally. In parallel, DSP will contact its members on Local and
Community Development Committees and advise them of the need to be supportive to the roll out of the
programme locally and to encourage other bodies, such as the ETBs, with an interest in supporting the
unemployed or other clients
DSP, DECLG, Pobal and ILDN will meet regularly (next meeting due to be held in 6 weeks) to manage the process
and to review progress.
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