Jan - June 2022 Local Employment Service - Guidelines for the Operation and Administration
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Guidelines
for the
Operation and Administration
of
Local Employment Service
Jan – June 2022
LES01V2.4. Sept 2021Contents
Introduction ............................................................................................................................. 6
Section 1: Local Employment Service
1.1 Delivery of Local Employment Services (LES) ............................................................... 7
Section 2: Contract
2.1 DSP Contracted Public Employment Services and Divisions ........................................ 8
2.2 Legal Entity ................................................................................................................... 8
2.3 Cessation of Contract ................................................................................................... 8
Section 3: Services and Target Groups
3.1 Services Provided ......................................................................................................... 9
3.2 Target Groups of the LES ............................................................................................ 10
3.2.1 Definitions....................................................................................................... 10
3.2.2 Clients referred to/from LES ........................................................................... 11
3.2.3 Application of Penalties .................................................................................. 12
Section 4: Resourcing
4.1 Roles ........................................................................................................................... 13
4.1.1 Code of Practice .............................................................................................. 14
4.1.2 LES Co-ordinator ............................................................................................. 15
4.1.3 Mediator ......................................................................................................... 17
Section 5: Remote Working .................................................................................................19
Section 6: Business Management
6.1 LES Premises/Facilities ............................................................................................... 20
6.2 Freedom of Information Act, 2014 Requests for Records ......................................... 20
6.2.1 FOI Requests ................................................................................................... 20
6.2.2 Records ........................................................................................................... 21
6.2.3 Contractor Liaison........................................................................................... 21
6.2.4 Procedure – FOI Request submitted to Contractor........................................ 21
6.2.5 Procedure – FOI request submitted to the Department ................................ 23
6.2.6 General Query................................................................................................. 24
6.2.7 FOI Fees .......................................................................................................... 24
2
LES01 V2.4 Sept 20216.2.8 Request from the Office of the Information Commissioner .......................... 25
6.2.9 Helpful links .................................................................................................... 25
6.3 Data Protection .......................................................................................................... 25
6.3.1 Client Data Access Requests ........................................................................... 25
6.3.2 LES Staff accessing the ACM ........................................................................... 26
6.3.3 LES Data Compliance Officer .......................................................................... 26
6.3.4 Social Media.................................................................................................... 26
6.4 Quality Assurance ....................................................................................................... 27
6.5 Caseload Management ............................................................................................... 27
6.6 ACM ............................................................................................................................ 28
6.6.1 Updating Client Personal Details .................................................................... 28
6.6.2 Client’s Office .................................................................................................. 28
6.6.3 Client Notes .................................................................................................... 28
6.6.4 Claim History................................................................................................... 28
6.6.5 Personal Progression Plan (PPP) ..................................................................... 29
6.6.6 Jobs Ireland .............................................. ………………………………………………….29
6.6.7 Group Information Session (GIS) - Finding clients scheduled
to attend a GIS in LES ...................................................................................... 29
6.6.8 GIS and Initial 1:2:1 –Recording attendance and DNA ................................... 30
6.6.9 Data Protection for DNA data......................................................................... 30
6.6.10 New Registrations: DSP Activation Clients ..................................................... 30
6.6.11 New Registrations: Other Client Groups (Walk-ins) ....................................... 31
6.6.12 Clients Re-engaging ........................................................................................ 31
6.6.13 Clients who have completed JobPath ............................................................ 31
6.6.14 Active Caseload: DSP Activation Referral Clients .......................................... 32
6.6.15 Active Caseload: Other Client Groups (Walk-ins) ........................................... 32
6.6.16 Subsequent Interviews: DSP Activation Referral clients ................................ 32
6.6.17 Subsequent Interviews: Other Client Group (Walk-ins) ................................. 32
6.6.18 DNA Follow-on 1:2:1/ARMs ............................................................................ 33
6.6.19 Job Matching .................................................................................................. 33
6.6.20 Hierarchy of Placement and Progressions...................................................... 33
6.6.21 Placement into Employment .......................................................................... 34
6.6.22 Progression into part-time employment ....................................................... 34
6.6.23 Progression to FET courses ............................................................................. 34
6.6.24 Progression to Job Clubs ................................................................................. 35
6.6.25 Progression to Mediator Fund ........................................................................ 35
6.6.26 Progression to BTEA, BTWEA, EmployAbility, Gateway, TUS ......................... 36
3
LES01 V2.4 Sept 20216.6.27 Progression to CE and Internship ................................................................... 36
6.6.28 Progression to Other Programmes ................................................................. 36
6.7 Employer Engagement ............................................................................................... 37
6.8 Communications ........................................................................................................ 37
6.8.1 Standards ........................................................................................................ 37
6.8.2 Using Department Logo .................................................................................. 38
6.8.3 Development of Materials .............................................................................. 38
6.8.4 Media Handling & Events ............................................................................... 38
6.8.5 Issue/Crisis Management ............................................................................... 39
6.9 Complaints .................................................................................................................. 40
6.9.1 Definition of Complaint ..................................................................................... 40
6.9.2 General Principles .............................................................................................. 40
6.9.3 Dealing with a Complaint .................................................................................. 42
6.9.4 Complaints referred to DSP ............................................................................... 43
6.9.5 Procedures for dealing with complaints under Section 38
of the Disability Act 2005................................................................................ 44
6.9.6 Flow chart of complaint process ....................................................................... 46
6.9.7 Letter to client from DSP ................................................................................... 47
Section 7: Financial Management
7.1 Overall Arrangements ................................................................................................ 48
7.2 Apportionment ........................................................................................................... 48
7.3 Bank Account .............................................................................................................. 49
7.4 Tax Clearance Certificate/Charitable Status .............................................................. 50
7.5 Contract Value ............................................................................................................ 50
7.6 Float ............................................................................................................................ 51
7.7 Claims and Payments.................................................................................................. 51
7.8 Travel and Subsistence ............................................................................................... 52
7.9 Petty Cash ................................................................................................................... 52
7.10 Annual Audited Accounts ........................................................................................... 53
7.11 Insurance .................................................................................................................... 53
7.12 Assets Register............................................................................................................ 54
7.13 Lease Agreement (Premises) ...................................................................................... 54
7.14 Mediator Fund ............................................................................................................ 54
4
LES01 V2.4 Sept 2021Section 8: Monitoring and Evaluation
8.1 Monthly Reports ......................................................................................................... 55
Section 9: Records
9.1 Documentation ........................................................................................................... 56
9.2 Client Records ............................................................................................................. 56
9.3 DSP Systems................................................................................................................ 56
Appendices: available on gov.ie www.gov.ie/LESFORMS
Appendix 1 Monthly Claim Form (Single and Multiple)
Appendix 2 Checklist for LES Claim
Appendix 3 Control Account Sample
Appendix 4 Mediator Fund Guidelines
Appendix 5 Mediator Fund Application & Processing Form; Accreditation of Provider &
Training Form; Approval & Verification Form
Appendix 6 Books of Account and Record Keeping: Best Practice
Appendix 7 Float Request Form
Appendix 8 Assets Register Template
Appendix 9 Bank Authorisation Form
Appendix 10 Insurance Checklist
Appendix 11 Data Protection Compliance Officer Protocol
Appendix 12 Data Protection Agreement with Contractor Staff
Appendix 14 Employer Engagement Guidelines
Appendix 15 LES Mediator Fund Review
5
LES01 V2.4 Sept 2021Introduction
This document sets out the basic principles and guidelines for the operation
and administration of the Local Employment Service (LES).
These guidelines form part of the contract entered into for the provision of
the LES service. The agreement is governed by the terms and conditions as
set out in the contract and schedules and in the case of conflict of wording,
in the following order of priority:
1. The Contract and the Schedules
2. The Guidelines.
Contractors must ensure that all clients of the service are made aware that
the LES service is being delivered on behalf of the Department of Social
Protection.
_____________________________________________________________
6
LES01 V2.4 Sept 2021Section 1: Local Employment Service
_______________________________________________________________
1.1 Delivery of The LES provides a local service and facilities to support unemployed people
Local to enter or return to work.
Employment
Services
Contact The service is available to clients through a network of local contact points
Points/ from 9.a.m. to 5.p.m. (Monday to Friday) and are open during lunchtime.
Outreach Services may also be provided in outreach offices on a part-time basis.
services
______________________________________________________________
The role of the The Contact Point or Outreach Service provides access to the service, which
Contact includes:
Points/
▪ Referral to the mediation service, career path planning, career guidance
Outreach
and placement services.
Services
▪ Referral to local State and voluntary services for training, education, Job
Clubs and other social services; and
▪ Information on the range of training, education and employment options
available
______________________________________________________________
Local One or more of the Contact Points in each area are designated as Local
Employment Employment Centres; these provide a more intensive service than that
Centre available at the other Contact Points.
______________________________________________________________
The role of the The Local Employment Centre will provide one-to-one career path planning
Local and placement services, on a caseload basis, for the unemployed.
Employment This includes:
Centers
▪ An active placement and recruitment service;
▪ Career guidance/counselling and mediation;
▪ Employer liaison;
▪ Referral to training, education, work experience and employment
programmes.
______________________________________________________________
7
LES01 V2.4 Sept 2021Section 2: Contract
2.1 DSP The Contracted Public Employment Services (CPES) unit in the Department
Contract of Social Protection (DSP) has responsibility for the LES with regard to
Management contracts and policy. Operational decisions in relation to the LES contracts
are the responsibility of DSP divisions. Contractors are required to work
through/with their local divisional contact with regards to the delivery of
the service.
______________________________________________________________
2.2 Legal Entity
LES Contractors are required to form a separate legal entity or be part of an
existing legal entity which is satisfactory to the DSP i.e. a company limited
by guarantee or a co-operative as per the contract.
______________________________________________________________
2.3 Cessation As per the contract as signed, Contractor must give the Department 60 days
of Contract notice if seeking to terminate the contract before the term of the contract
has expired. This must be formal written Notice of the proposed cessation
date.
Where a contract is terminating, for whatever reason, as per the contract
the Contractor must ensure inter alia that:
▪ The final claim is submitted;
▪ The float is reimbursed in full;
▪ All assets are returned to the Department
▪ All client data is returned to the Department
▪ The final audit is completed. The final audit cannot commence until the
final claim is submitted (See Section 7.10)
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LES01 V2.4 Sept 2021Section 3: Services and Target Groups
_______________________________________________________________
3.1 Services The services provided by LES are tailored to the needs of each individual
Provided client. The key services of the LES are:
Placement service: registration, career guidance, vacancy matching and
placement into employment of 30+ hours.
Progression planning: registration, referral onto education training
programmes and/or employment of less than 30 hours within the
context of a Personal Progression Plan.
Labour market information: Provision of information and advice on
areas that relate to the labour market situation, such as welfare-to-work
issues; education, employment and training opportunities, including
referral of the client to related services.
Mediation and guidance: Registration and orientation; provision of
intensive personalised guidance leading to development of a career path
plan; career counselling; assistance with securing active labour market
programmes and employment and post-placement support.
Group guidance: Provision of tailored options to meet the needs of a
specific client group.
Client-employer liaison: Contact with employers, identification of
vacancies suited to clients and potential training needs; advocating on
behalf of clients; information and referral to job vacancies.
Post-employment programme assistance: Provision of the full range of
LES supports to persons experiencing difficulty in accessing employment
from labour market programmes.
Post-training/education programme assistance: Provision of the full
range of LES supports to persons experiencing difficulty in accessing
employment on completion of employment related training or
education.
In-employment support: Provision of advice and assistance to clients
who have gained employment who may be experiencing difficulty in
sustaining their employment
___________________________________________________________________________________
9
LES01 V2.4 Sept 20213.2 Target Target clients for the LES are set out in the contract and are as follows:
Groups of the
Activation Clients (clients referred to LES by DSP):
LES
• DSP Activation Referrals
Other Client Groups (clients targeted by LES):
• Persons in receipt of OPFP
• Early School Leavers
• Persons with a Disability (PwD)
• Qualified Adults
• Non LR Employment Returners
• Travellers
• Offender/ex-offender
• Refugees
• Low-income Smallholder
• Protection Applicants (PAs)
______________________________________________________________
3.2.1 1. DSP Activation Referrals: are persons selected for activation and
Definitions referred by DSP to the LES for career/vocational guidance, job placement
& progression services. This categorisation holds for a period of 6
months from the date of referral to LES.
2. OPFP: are persons in receipt of the One Parent Family Payment
3. Early School Leavers: are defined as persons presenting or referred who
are 16 to 21 years of age inclusive, who have officially left school without
sitting their Leaving Certificate and who are experiencing difficulties in
the labour market. If under 18 years, the client should produce written
evidence from parents/guardians or the last school attended that she/he
has officially left the school or be referred by the Education Welfare
Board.
4. Persons with a Disability: are persons with a disability who present at
the LES for service, are engaged directly with by the LES as part of their
contract requirements or who are referred to the LES from an Intreo
office.
5. Qualified Adults: are adult dependents of a person on Jobseekers
Benefit or Allowance.
10
LES01 V2.4 Sept 20216. Non LR Employment Returners are:
• Persons who have been out of the workforce due to caring duties;
• Are not in receipt of Jobseekers Allowance or Jobseekers Benefit;
• Are not on any existing caseload;
• Are identified as wishing to return to work and
• Who need assistance to enter/re-enter paid employment.
7. Travellers: are persons who are members of the travelling community.
8. Offender/ex-offender: are persons who have been released or are
about to be released from a period of incarceration.
9. Refugees: before providing a service to this group, the individual’s
eligibility for services must be confirmed.
10. Low Income Smallholder: are persons with a small farm holding.
11. Protection Applicants: are International Protection applicants who have
been given access to the Labour Market and have a letter from the
Department of Justice and Equality confirming they are approved for the
administrative scheme to take steps to become self-employed.
______________________________________________________________
3.2.2 Clients A client who is already actively working with the LES in the Other Client
referred Group may be re-categorized by DSP as a DSP Activation Referral at any time
to/from LES (No.1 under definitions above).
The LES may refer clients to other agencies if that agency offers a service
that is more appropriate to the client’s needs e.g. Drugs Task Force,
EmployAbility etc.
Persons with a Disability (PwD) who are sent to the LES by Intreo offices
should be registered under the other client target groups PwD.
______________________________________________________________
11
LES01 V2.4 Sept 20213.2.3 Where a jobseeker is referred through the Department’s activation process
Application of and fails, without good cause or reasonable explanation, to attend the group
Penalties information session and/or their one-to-one interviews, then their jobseeker
payment may be affected.
Also if a jobseeker refuses or fails to participate in suitable education,
training or development opportunities, without a valid reason, the
Department may recall them for an interview and their jobseeker payment
may be affected.
The LES must ensure that all clients’ Employment Service Record’s (ESR) are
updated as appropriate with DNA, Declined Intervention, Dropped Out etc.
Where the client is not engaging, a DNA task (or tasks) will generate which is
a prompt for the Mediator to review the client’s compliance with activation
and to notify the Department if they are not.
To notify the Department the LES must complete the ‘Create Penalty Rate
Object’. A DSP Deciding Officer will then review the client’s history of
engagement and take any action they think appropriate. LES staff should
refer to the Activation Case Management (ACM) training manual for details
on the relevant tasks.
The application of penalty rates does not apply to clients in the Other Client
Group but all attendance/DNA must also be recorded.
______________________________________________________________
12
LES01 V2.4 Sept 2021Section 4: Resourcing
____________________________________________________________
Contractors are encouraged to advertise their LES staff vacancies using the
DSP services e.g. Jobs Ireland website, in addition to whatever other means
the Contractor wishes.
Details of newly appointed LES staff members who require access to the DSP
systems must be notified immediately to their DSP Divisional Contract
Manager and to CPES so that access can be provided. The information to be
submitted is detailed on Appendix 12. The Divisional Contract Manager and
CPES must also be notified immediately where staff have left and access is to
be removed. All communication for CPES must be sent to the DSP mailbox at
LESJobClubs@welfare.ie. (See Section 6.3.2)
4.1 Roles As per the contract, DSP funds staffing costs for the following roles only:
▪ Co-ordinator;
▪ Mediator; and
▪ Clerical
If the number employed in any category falls below the number specified in
the Contract, funding will be reduced.
______________________________________________________________
13
LES01 V2.4 Sept 20214.1.1 Code of All Contractors staff share certain responsibilities, irrespective of their job
Practice title.
Staff are expected to respond to the needs of clients by:
▪ Providing the initial contact with job-seeking clients and registering them
on ACM;
▪ Providing accurate information and advice to job-seeking clients;
▪ Referring clients with specific needs to the Local Employment Centre or to
a locally based Mediator;
▪ Referring clients, where appropriate, to Solas, the Education Training
Board (ETB) or other agencies; and
▪ Assisting in the provision of an outreach service.
The Contractor will ensure that all their staff adheres to a Code of Practice.
Having a Code of Practice that applies to all staff ensures that the services
provided:
▪ Have full regard for the clients’ needs;
▪ Achieve the best possible outcomes for clients; and
▪ Create a public image which promotes the LES
A suggested basis for a Code of Practice is set out below, including some
points that could be covered in the code for Coordinators and Mediators. It
is however a matter for the Contractor to have an effective code of practice
in place.
Suggested Standards
Code of Aim to:
Practice
▪ Ensure local and national information is up-to-date and accurate;
elements
▪ Check and revise information to ensure standards are maintained; and
▪ Ensure that information is conveniently located, attractively displayed,
observes ‘plain English’ advice, and freely available to clients.
Relationship with Clients
Aim to
▪ Treat clients with respect and courtesy;
▪ Advise clients of their role and responsibilities and clarify clients’
expectations;
▪ Ensure clients are given appropriate time and attention;
14
LES01 V2.4 Sept 2021▪ Assist clients to interpret information accurately; and
▪ Ensure confidentiality of the service.
Professionalism
Aim to
▪ Acknowledge their own competency and limits, and refer clients with
specific needs to others, who have more specialised knowledge or skills.
4.1.2 Co- The role of the Co-ordinator:
Ordinator
▪ Co-ordinate and facilitate the development of the LES, under the
management and direction of the Contractor.
▪ Provide the key link, at local level, between the different Contact Points
and Local Employment Centres, who are responsible for providing the
services of the LES.
The Co-ordinator’s key responsibilities:
Services Development
▪ Identify gaps in the services provided to unemployed people and other
target groups;
▪ Instigate/promote the design and delivery of new and appropriate
initiatives for target group clients and;
▪ Seek to ensure the mainstreaming of lessons learned from programmes
initiated by the LES.
Financial Control
▪ Ensure that the funding provided by DSP is administered and controlled in
accordance with DSP guidelines (Section 7 and Appendix 4)
▪ Control LES spending; and
▪ Draw up and manage budgets;
Information
▪ Access and update information that is relevant to the needs of the target
groups, such as labour market trends and new initiatives; and
▪ Collate and disseminate information to their Local Employment staff.
▪ Manage LES staff;
▪ Identify training and development needs of staff; and
▪ Coordinate staff development interventions.
15
LES01 V2.4 Sept 2021Liaison
▪ Liaise with local employers and employers’ groups regarding job
opportunities,
▪ Liaise with unemployed people and their representative groups;
▪ Liaise with education and training providers;
▪ Liaise with third-level institutions regarding access to and development of
initiatives for long-term unemployed; and
▪ Liaise with voluntary and community development organisations
Promotion
▪ Promote the value of the LES and ensuring access to it for unemployed
people; and
▪ Encourage the commitment, support and active participation of employers
and statutory agencies.
Evaluation/Quality
▪ Establish criteria and mechanisms for evaluating the provision of local
employment services and related services; and
▪ Oversee the ongoing monitoring and evaluation of the local employment
services being delivered locally.
Integration
▪ Establish links with and between all agencies and personnel working with
unemployed people, thereby developing effective local networks;
▪ Promote effective integration of the range of services available to
unemployed people, such as placement, training and guidance; and
▪ Establish links between unemployed people and local employers.
Feedback
▪ Provide feedback and report on the operation of the service to DSP; and
▪ Report on a regular and ongoing basis to the Contractor’s management.
_____________________________________________________________
4.1.3 Mediator The role of the Mediator within the LES:
▪ Provide clients with a confidential, individual career path planning,
guidance and first-line counselling service;
▪ Match clients with vacancies
▪ Manage and operate the caseload management system.
▪ Provide mediation support to clients placed in jobs;
16
LES01 V2.4 Sept 2021▪ Refer clients to counselling as appropriate;
▪ Refer clients to employment
▪ Place clients into employment;
▪ Liaise with employers to identify employment opportunities;
▪ Provide support to clients in-employment who may be experiencing
difficulty and
▪ Work as an integrated member of the LES team.
______________________________________________________________
Sample Code In addition to the principles set out in the general Code of Practice
of Practice for Mediators should.
Mediators
Standards
A Mediator must:
▪ Deliver the service as per the Service Guarantee
▪ Achieve the best employment outcome for each client;
▪ Organise and monitor activities in response to assessed needs of the
client, so that each client becomes ‘job-ready’ as effectively as possible,
and is placed in employment;
▪ Organise a first meeting with the client within ten working days of initial
contact;
▪ Provide after-placement mediation support to clients in progression or
placed in jobs; and
▪ Maintain the caseload management system as provided by the
Department.
_____________________________________________________________
Sample Code Relationships with Clients
of Practice for A Mediator will draw up an agreed way of working together with each client
Mediators on the understanding that they will:
cont’d
▪ Treat clients with trust, courtesy, respect and empathy in a non-
judgmental manner, recognising the differing needs and circumstances of
each client;
▪ Ensure that each client’s privacy and right to confidentiality are respected
and protected at all times;
▪ Ensure that clients are aware that information held on them is accessible
to the DSP;
17
LES01 V2.4 Sept 2021▪ Ensure that all clients are informed of their rights and entitlements, as well
as the implications and obligations of the services available to them;
▪ Ensure that all information provided to the client is accurate, up to date,
easy to understand and in a language that the client is familiar with;
▪ Inform clients of their role and responsibilities, and clarify clients’
expectations;
▪ Ensure that clients are given appropriate time and attention; and
▪ Ensure that, if difficulties arise in communicating with a client (use of
language, own beliefs and attitudes, etc.), advice is sought from an
appropriate service.
Professionalism
A Mediator must:
▪ Maintain a focus on employment, education and training opportunities;
▪ Network with relevant agencies and professional services that can assist
the Mediator in working with clients, or to which a client can be referred
for counselling in areas that are outside the remit of LES;
▪ Be aware of all relevant legislation as it affects their target group;
▪ Keep up to date with developments in the labour market, including new
programmes, employment incentives, etc.
▪ Declare any conflict of interest which might influence relationships
between them and the client;
▪ Refuse any gifts or offers of gifts from clients for services rendered;
▪ Use only tests that they are trained to administer and interpret; and
▪ Review each client’s progress regularly, and where appropriate agree fresh
approaches to addressing their needs.
______________________________________________________________
18
LES01 V2.4 Sept 2021Section 5: Remote Working
____________________________________________________________
Remote The Department has provided additional funding to service providers to make the
Working; necessary adaptations to their office space so as to ensure that the Government
Teleworking Guidelines are adhered to, and in order to safeguard both staff and clients during
the current pandemic.
It may still be necessary for some staff to work remotely, either from home or an
alternative location. However permission to work remotely will only be given to the
number of staff that exceed that which can safely be accommodated in the office.
Definitions:
Teleworking – working from home or in a public place
User – contractor.
Approval
• Teleworking must be approved in advance by the Department
• Approval is dependent on the service provided having a Teleworking Policy
in place and which must be submitted to DSP in advance.
• Staff using their portable devices must adhere to IT security policies in
place.
Privacy
• Care should be taken that screens and documents are not accessible to
other people in the teleworking location including places of residence
• Users must be extra vigilant to ensure that confidential information is not
made available to others e.g. ensure that calls are not overheard, and
screens cannot be seen by others who are not authorised to look at the
content, be it personal data of customers or business information.
Non-DSP Equipment
• Users must not download customer data or confidential business
information to non-DSP equipment, including portable storage devices.
• Users must not download DSP licenced software to non-DSP equipment
Supporting Policies, Procedures and Guidelines
The teleworking policies and procedures, being part of the Operating Guidelines,
are incorporated into the contract by reference. They are subject to the terms of
Data Protection are as set out in the Contract as signed
____________________________________________________________
19
LES01 V2.4 Sept 2021Section 6: Business Management
______________________________________________________________
6.1 LES The proposed premises/facilities must be approved by the DSP Division. The
Premises/ Contractor will provide a range of facilities for the delivery of the LES
Facilities including:
• Premises suitable for interviewing clients; private interview rooms.
• Adequate space and drop in facilities
• Premises must provide access for people with disabilities.
• The premises should be in a prominent and accessible location and
of good commercial standard
• Provision of service which is accessible to the participants from
Monday to Friday between 9am to 5pm for the contract period.
______________________________________________________________
6.2 Freedom Note: The Contractor shall not, in any circumstances, release any record
of Information directly to a Requester.
Act, 2014
The Freedom of Information (FOI) Act 2014 provides the legal right for the
Requests for
public to access information and records held by public bodies, prescribed
Records
bodies and service providers. The Department of Social Protection is an FOI
body for the purposes of the Act, and is subject to the provisions of the Act
in respect of the information and records held in connection with its remit.
Accordingly, all records transferred to the Contractor, or created, amended
or maintained by the Contractor for the purpose of providing activation
services are subject to the FOI Act, and requests for such records must be
addressed in accordance with the provisions of the FOI Act.
The Act imposes mandatory timeframes for processing requests for records.
The Department and the Contractor must therefore accord utmost priority
to processing requests submitted in accordance with FOI legislation (please
see Table 2 below: Timetable for Contractor Response to FOI Requests).
______________________________________________________________
6.2.1 FOI A request for information or records under the FOI Act must:
Requests
• Be made in writing (via letter or email);
• Specify that the request is submitted in accordance with FOI
legislation; and
• Contain sufficient information to allow the records sought to be
readily identified
There are three categories of FOI requests:
▪ ‘personal’, which refers to records comprising information about
an identifiable individual;
▪ ‘non-personal’, which may include records in relation to policy,
contracts, statistics, staffing, performance indicators, reports etc.;
20
LES01 V2.4 Sept 2021▪ ‘mixed’, which may comprise both personal and non-personal
records.
The Contractor may receive requests for records from clients, journalists,
interest groups etc., each of whom is referred to throughout this document
as ‘the Requester’.
_____________________________________________________________
6.2.2 Records For the purposes of FOI, a ‘record’ may encompass information which is
presented in a variety of formats, including paper, electronic devices, audio
visual or photographic format and may comprise:
•books, files, letters, notes, diaries, jotters, post-its;
•emails, texts, disks, databases, phone recordings or otherwise held
electronically;
• CDs, films, tapes, CCTV, web footage, TV footage; and
• maps, plans, microfiche, microfilm, models, simulations.
_______________________________________________________________
6.2.3 The Contractor must assign responsibility for dealing with requests for
Contractor records under FOI legislation to the contractors nominated Data Protection
Liaison Compliance Officer (see Data Protection Section 6.3.3 below) or the person
deputising for the Data Protection Compliance Officer in his/her absence.
The Contractor will furnish the contact details (email address, mobile phone
and landline numbers) of that member of staff to:
• the DSP Divisional Assistant Principal with responsibility for the
contract, and
• the Contracted Public Employment Services (CPES) Unit, as per the
Data Protection Section below.
The Contractor will ensure that the nominated member of staff will be fully
apprised of the Contractor’s obligations under the FOI Act, and will
acknowledge such requests on the date of receipt, and respond to requests
and enquiries in connection with FOI matters within three working days
[please see Table 2 below].
______________________________________________________________
The Contractor may receive requests for records under FOI legislation from a
6.2.4
variety of sources, including by letter or phone, via email or from personal
Procedure -
callers. Any such requests must be forwarded to the Department for
FOI Request
processing. As a general rule, if a client requests his/her personal records,
submitted to
the request will be dealt with by the FOI Decision Maker in the client’s Social
Contractor
Welfare Local Office, Intreo Centre or the Divisional Assistant Principal.
If the request is in respect of non-personal records (for example contracts or
policy matters) the request will be addressed by the FOI Decision Maker in
the CPES Unit. The Table below [Table 1] details the appropriate action in
respect of FOI requests.
21
LES01 V2.4 Sept 2021TABLE 1
Request
Action Timeframe/Advice
submitted by
Letter in the post, Date stamp & forward to: Timeframe:
from client, Immediately on
The Divisional Assistant
requesting his/her receipt
Principal/ FOI Officer,
personal records
Social Welfare Local
under FOI
Office/Intreo Centre.
Letter in the post, Date stamp & forward to: Timeframe:
requesting non- Immediately on
FOI Decision Maker, CPES,
personal or mixed receipt
Floor 5, The Guild Building,
records under FOI
Cork Street, Dublin 8.
Letter delivered Date stamp & forward to: Timeframe:
by hand, from The Divisional Assistant
Immediately on
client requesting Principal/FOI Officer, Social
receipt
his/her personal Welfare Local Office/Intreo
records under FOI Centre.
Letter delivered Date stamp & forward to: Timeframe:
by hand,
FOI Decision Maker, CPES, Immediately on
requesting non-
receipt
personal or mixed Floor 5, The Guild Building,
records under FOI Cork Street, Dublin 8.
Phone call from Advise caller to put his/her Give caller the
client requesting request in writing, and address of the
his/her personal send to: The Divisional Divisional Assistant
records under FOI Principal/ FOI Officer, Principal/ his/her
Social Welfare Local Social Welfare Local
Office/Intreo Centre. Office or Intreo
Office
Phone call Advise caller to put his/her Give caller the
requesting non- request in writing, and address of the CPES
personal or mixed send to The FOI Decision Unit (i.e. Floor 5,
records under FOI Maker, CPES, Floor 5, The The Guild Building,
Guild Building, Cork Street, Cork Street, Dublin
Dublin 8. 8)
Email from client Forward email to: The Timeframe:
requesting his/her Divisional Assistant
Immediately on
personal records Principal/FOI Officer, Social
receipt
under FOI Welfare Local Office/Intreo
Centre.
22
LES01 V2.4 Sept 2021Email requesting Forward email to: The FOI Timeframe:
non-personal or Decision Maker, CPES Unit
Immediately on
mixed records at: LESJOBCLUBS@welfare,
receipt
under FOI with the subject line:
FOI REQUEST.
Client calls to Advise that request must Give contact details
Contractor Office, be made in writing and
requesting his/her sent to: The Divisional
personal records Assistant Principal/FOI
under FOI Officer, Social Welfare
Local Office/Intreo Centre.
Person calls to Advise that the request Give contact details
Contractor Office must be made in writing
requesting non- and sent to: The FOI
personal or mixed Decision Maker, CPES,
records under FOI Floor 5, The Guild Building,
Cork Street, Dublin 8.
______________________________________________________________
6.2.5 In the case of a request for records under FOI legislation submitted by a
Procedure – Requester directly to the Department, the Department’s practice will be to
FOI request notify and furnish details of the request to the designated member of the
submitted to Contractor’s staff (the nominated Data Compliance Officer).
the That notification will include the formal request for records held by the
Department Contractor.
The registered number of the FOI request will appear in the subject line of
the email issued by the Department to the Contractor’s designated member
of staff, and in the text of the formal request for records. This number must
be quoted in all correspondence in connection with that FOI request.
The Contractor must acknowledge receipt of that notification without delay
and not later than close of business on the same date.
In order to comply with the formal request from the Department for all
records held by the Contractor in connection with the FOI request, the
Contractor’s designated member of staff will identify, retrieve and furnish all
records to the Department without delay, and not later than close of
business on the sixth working day following receipt of the formal request for
the records.
Please see timeframes in Table 2 below:
23
LES01 V2.4 Sept 2021Table 2: Timetable for Contractor Response to a request from the
Department in connection with FOI Request
Action No. working days from receipt
Acknowledge receipt of request
On date of receipt
(from Department)
Within three working days of date of
Identify and retrieve records
receipt
Identify any issues and draw to Within three working days of date of
the attention of the Department receipt
By close of business on the sixth
Furnish records to the
working day following receipt of the
Department
formal request
The Contractor will provide all information relating to the FOI request.
Note: In most instances, the Requester will request that the records be
furnished in a particular format i.e. a copy. Under law, the format sought by
the Requester should be facilitated where reasonable to do so.
The Contractor shall identify any information which, in its view, should not
be disclosed on grounds of commercial sensitivity. The Department will
consult the Contractor in relation to commercially sensitive information prior
to making a decision on any Freedom of Information request received.
______________________________________________________________
6.2.6 General If the Contractor receives a query of a general nature or a request for
Query information regarding the FOI process, the Contractor should direct all such
requests to the Department’s dedicated Unit, contact details are as follows:
FOI Unit,
Department of Social Protection,
Social Welfare Services Office,
Shannon Lodge,
Carrick-on-Shannon,
Co. Leitrim
Email: foi@welfare.ie
_______________________________________________________________
6.2.7 FOI Fees The Contractor should note that the FOI Act provides for the imposition of
charges in certain circumstances. The Requester will be advised by the
Department of the estimated cost of furnishing the records, and the
requirement to furnish a deposit to facilitate progression of the request.
Failure to advise the Requester of estimated fees at the earliest possible
date following the date of receipt of the request will preclude the application
of any fee, and hence the necessity to adhere to the timeframes contained in
Table 2 above.
The Department’s practice will entail offering the Requester an opportunity
24
LES01 V2.4 Sept 2021to refine the request (and possibly reduce the fees applicable).
_______________________________________________________________
6.2.8 Request The Office of The Information Commissioner may issue a Section 45 Notice
from the to a service provider requiring them to furnish to their office records in its
Office of the possession which are relevant to a review. Failure to comply with a Section
Information 45 Notice is an offence which can result in a prosecution or fine, or both.
Commissioner
_______________________________________________________________
6.2.9 Helpful FOI Guide:
Links http://www.welfare.ie/en/Pages/foirequests.aspx
Link to Freedom of Information Act 2014:
http://www.irishstatutebook.ie/2014/en/act/pub/0030/index.html
Link to Fees Regulations, Statutory Instrument No 53 of 2014
http://www.irishstatutebook.ie/2014/en/si/0531.html
_______________________________________________________________
6.3 Data The obligations of the Contractor in terms of Data Protection are as set out
Protection in the Contract as signed.
The contractor must adopt a best practice approach as to how personal
data is handled. For example they must;
1. Obtain and process the information fairly;
2. Keep it only for one or more specified and lawful purposes;
3. Process it only in ways compatible with the purposes for which it was
provided initially.
4. Keep it safe and secure;
5. Keep it accurate and up-to-date;
6. Ensure that it is adequate, relevant and not excessive;
7. Retain it no longer than is necessary for the specified purpose or
purposes;
8. Give a copy of his/her personal data to any individual, on request. see
6.3.1 below.
These provisions apply to ALL personal data held. It relates to both
automated data (i.e. records held on computer) and manual data held in a
relevant filing system.
The contractor must report all inappropriate accesses or data breaches to
the DSP immediately.
______________________________________________________________
6.3.1 Client The Contractor must NOT respond directly to requests. The Department in
Data Access Its role as Data Controller will respond to the request.
Requests The Contractor is required to comply with any access request for personal
data under the Data Protection Laws. All data access requests must be
forwarded by the contractor to the DSP Assistant Principal in the Division
25
LES01 V2.4 Sept 2021within 48 hours of receipt along with two copies of the relevant data.
Website of the Office of the Data Protection Commission:
https://www.dataprotection.ie
6.3.2 LES Staff All LES staff have been given individual access to the system and should not
accessing the share their access details with anyone. Where LES staff resign/retire/leave,
ACM the LES is obliged to report immediately to DSP CPES unit and cc their DSP
Divisional Contract Manager so that access can be terminated. The same
process applies to new staff requiring access. All communication for DSP
CPES must be to LESJobClubs@welfare.ie. To get access for a new staff
member the Contractor must supply the person’s first and last name, middle
initial, PPS number, role, email and the office name and address they will be
working in.
LES Contractors are contracted to provide an employment service and, as
such, must only access two areas of the ACM: Activation Case Management
to manage their caseload and Claim History to check eligibility for schemes.
No attempt must be made to access any other function or application with
the exception of the Actions to input an email or telephone number for a
client and the Appointments to access the schedule for GIS/Initial 1:2:1.
No other systems, IT or otherwise, or storage are permitted to be used to
deliver the service.
______________________________________________________________
6.3.3 LES Data The nominated Data Protection Compliance Officer must complete
Compliance Appendix 11, and must be named in the Contract Bid Proposal. A copy of
Officer Appendix 11 must be forwarded to the DSP divisional contract manager
when a new contract is signed. Any change of personnel in this role must
immediately be notified to the DSP divisional contract manager.
As per FOI section 6.2.3 the nominated Data Protection Compliance Officer
also has responsibility for requests under FOI.
______________________________________________________________
6.3.4 Social The DSP Social Media Policy and Usage Guidelines may be used by
Media Contractors as an example to develop their own policy for their staff.
The policy is available on request.
______________________________________________________________
6.4 Quality The LES Contractor must maintain an accredited, recognised quality system
Assurance through which the Contractor can design, maintain and improve services
continuously and respond effectively to changing conditions.
_____________________________________________________________
26
LES01 V2.4 Sept 20216.5 Caseload A Mediator’s ‘caseload’ is the collective term for the clients that they are
Management working with at a given time who are registered with the service. All LES
clients are placed on caseload i.e. assigned to a named Mediator.
The Mediator’s caseload needs to be carefully managed, in order to ensure
that all clients receive adequate and appropriate services; and that they are
actively followed up and supported as they progress towards employment.
In order to ensure a consistent response to clients, a formal process is in
place for managing each Mediator’s caseload effectively: the Activation
Caseload Management system on BOMi (ACM).
The ACM enables LES Mediators to schedule and record all interactions and
interventions with their clients, to chart the clients’ progress towards
employment, and to share information as necessary. The client’s record is
called the Employment Support Record (ESR).
The ACM must be used as instructed by the DSP to record all interactions
with the client. The DSP ACM system is the only acceptable record of activity
undertaken.
LES staff must ensure that the appropriate information is recorded on the
ESR as each action is completed (or not, as in the case of declined
intervention, dropped out and DNA etc.). A client’s ESR must reflect all steps,
notes, telephone calls, submissions/nominations/referrals to training/jobs
etc. so that all users can see a full picture.
The LES Mediator must complete a Personal Progression Plan (PPP) with
every client on their caseload at their first 1:2:1 interview and the signed
Data Protection declaration must be retained as per 8.3 below. A client’s ESR
must be updated each time they register with LES with any new experience,
skill or qualification gained since the last registration. Co-ordinators must
monitor caseloads to ensure there is a true reflection of activity/actions
taking place.
All LES engage with activation clients and Other Client groups as directed by
DSP. in the Service Guarantee.
______________________________________________________________
27
LES01 V2.4 Sept 20216.6 ACM All LES Contractors must use the Activation Case Management (ACM)
functionality on the Department’s Business Object Model implementation
(BOMi) system and must operate in accordance with the ACM Training
Manual which is available to all LES Contractors.
No other systems, IT or otherwise, or storage are permitted to be used to
deliver the service.
______________________________________________________________
6.6.1 Updating LES Mediators may update a telephone or email address, but all other data
Client Personal must be updated at the client’s Intreo office i.e. address, name, number of
Details children etc. as there may be implications for the client’s jobseekers
payment.
______________________________________________________________
6.6.2 The office attached to the client on the ESR is the claim office. This must not
Client’s Office be amended. The client is attached to a LES location only when assigned to a
Mediator in that location.
______________________________________________________________
6.6.3 Client LES Mediators must ensure that notes created in a client’s file are relevant,
Notes appropriate, factual, brief and to the point in plain language. Notes remain
on BOMi and cannot be deleted. They may be released under FoI or through
a Data Access Request.
______________________________________________________________
6.6.4 Claim The eligibility of clients for particular interventions can be verified at Claim
History History on ACM.
______________________________________________________________
28
LES01 V2.4 Sept 20216.6.5 Personal The creation of a PPP is mandatory for all clients and must be signed by the
Progression client at their first one-to-one interview.
Plan (PPP)
The PPP has two stages; Development Plan for initial agreement and
Employment Plan for further in the activation cycle -the Mediator should
select as appropriate. The PPP can be agreed multiple times and must
identify and address as a minimum:
• the fields of work appropriate for the client
• the client’s job/employment goals
• an updated set of skills training, education and development goals
and actions
• an agreed set of potential employment related experience
interventions
• the Department may require additional information to be included
from time to time.
See Section 9 ‘Records’ for retention requirements.
______________________________________________________________
6.6.6 All clients must register with JobsIreland as part of their jobseeking efforts
JobsIreland and it must be listed as an action on the first PPP.
______________________________________________________________
6.6.7 Group The Intreo offices identify clients for GIS (or Initial 1:2:1) and schedule the
Information appointments for the LES locations. Prior to the GIS the LES should access
Session (GIS) - the schedule as per ACM Training Manual (ACM Manual Section 3 Finding
Finding clients Appointments and Section 2.1.4 Generate a GIS Schedule)
scheduled to The Intreo Offices use the Initial 1:2:1 scheduling option where they are
attend a GIS in referring clients individually and not availing of the group option and these
LES interview types appear as Activation 1:2:1 on the New Registration Report.
If a sign in sheet is being used it must only contain a client’s name. A client’s
PPSN number or other personal details must not be visible to other
attendees.
_____________________________________________________________
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