Community Asset Transfer 2 (CAT2)
Round one stage one application form
Wales only
Please make sure that you read the following guidance on how to fill in this application form before you
start to complete it. This will help to make sure the application process runs smoothly. If you have any questions
email us at [email protected]
How to make sure this application form works correctly
1. Only use the latest version of Adobe Reader
●● Don’t use an earlier version of Adobe Reader or other software as we will not be able to read your form.
●●
Follow this link to get the latest version of Adobe Reader, which is free to install and use.
●●
If you have a Mac or use Windows 8 your computer may automatically default to Mac Preview or Windows
Reader when you open the form, but they’re not compatible with our systems, even though they allow you to
complete the form. So please double check that you are using Adobe Reader.
Before you start to fill in the form
1. Read the programme summary at the start of this form. This describes who can apply, what we will pay for
and how we assess applications. Taking the time to read this fully will increase the chances of your application
being successful.
2. Save the form to your own computer.
Filling in the form
1. You don’t need to complete the form in one go.
2. We recommend that you type directly into this form. Don’t copy and paste from another document as it
may cause formatting problems which you might not notice. For example, it could cause you to go over the
character limit for a question without realising it.
Sending us your form
1. When you’ve finished your application check that you’ve answered every question.
2. Make sure you’ve saved your completed form and closed it on your computer.
Email a copy of this form, your completed early stage capital project delivery plan and capital costs spreadsheet,
and any other supporting documents named in the checklist in part seven, to [email protected] putting
the name of your organisation from question 1.1 into the email subject line. Your completed application must reach
us by noon on Wednesday 20 May 2015. We won’t be able to accept any applications after this date.
1
Programme summary
What’s it all about?
The Big Lottery Fund’s Community Asset Transfer 2
(CAT2) programme aims to create more sustainable
communities by supporting asset transfer to
enterprising third sector organisations that actively
involve and benefit the communities they serve.
These organisations must:
●●
work towards improving facilities and/or services
provided for their community
●●
be able to demonstrate that their proposals include
multiple income streams
●●
be financially viable and sustainable in the long term
●●
take into account the environmental, social and
economic impacts of their work.
We hope that through CAT2 more people will become
involved in deciding how assets can be used to address
needs, leading to a wider recognition of the importance
of community-led regeneration.
By “asset” we mean a building(s) with or without land
attached.
Our first CAT programme ran between 2009 and 2012
in partnership with the Welsh Government (WG).
Through it we distributed £12.1 million in grants to
support the transfer of assets from public to third
sector organisations. The programme generated
significant interest across Wales. Since then our ongoing
consultation with stakeholders has shown that
awareness of the benefits of asset transfer has
increased. Using our learning from that programme we
have now developed a new Community Asset Transfer
programme (CAT2).
Through CAT2 we will invest up to £9 million in
communities across Wales to help them transfer,
develop and manage sustainable assets to improve their
livelihoods and neighbourhoods. The Welsh Government
will not be involved in delivering this programme.
Assets don’t have to be transferred from public sector
organisations, we will also consider transfers from
individuals and private sector organisations.
Transferring the ownership of community assets
encourages people to become more actively involved in
their communities, influence what happens in them and
take part in decisions concerning them.
2
CAT2: funding rounds
We recognise that projects at varying stages of
development will be interested in applying for CAT2
funding; therefore we are delivering it via two
competitive funding rounds.
Round one will be delivered via a two stage application
process. Organisations must submit the attached stage
one application form with an early stage capital project
delivery plan (CPDP) and capital costs spreadsheet. You
can download the CPDP and capital costs spreadsheet
from our website www.biglotteryfund.org.uk/CAT2
Stage one applications can include a request for
development funding to support the development of
the stage two application. This development funding will
be awarded after the stage one decision, if successful.
Successful stage one applicants must then develop and
submit a stage two application (a project plan, a detailed
capital project delivery plan and budget). We anticipate
inviting between 8 and 12 projects to proceed to stage
two with up to five of these being awarded a full grant.
Round two opens in spring 2016. We will publish
separate application materials then.
The guidance and application form in this
document is for Round one only.
To find out more about CAT2, including the types of
projects we expect to fund through our programme
and what our capital requirements are for stage
two of the application process, visit
www.biglotteryfund.org.uk/CAT2
What are we looking for?
We will only fund projects that seek to achieve all four
of the following outcomes:
●●
to promote and strengthen the independence and
financial viability of third sector organisations by
enabling income generating social enterprise
●●
to improve partnership working between the public
sector, the third sector and other sectors
●●
to contribute to the regeneration and economic
sustainability of communities
●●
to build the capacity of enterprising communities to
take on and develop sustainable community assets
that can provide solutions to the challenges they
face.
We will only accept proposals for the transfer and
development of buildings that have both economic and
social uses. Projects must be able to show that the
community that will benefit from the asset is taking
part in the design and future running of the project. By
community we mean either a group of people who live
in the same area or who have interests in common.
We will also test whether your business proposals will
generate enough income to be economically viable. This
includes any environmental enhancements that have
been incorporated into the design of the asset that may
contribute to economic sustainability.
Who can apply?
We will only accept applications from constituted third
sector organisations. This organisation will be
responsible for the project and must be the organisation
to which the asset is transferred. The following kinds of
third sector organisations are eligible to apply:
●●
Community Interest Companies (CICs)
●●
Companies Limited by guarantee
●●
Charitable incorporated organisations or charitable
trusts
●●
Industrial and Provident Societies.
You can only submit one application during each round
of the CAT2 programme.
How much can you ask for?
You can apply for up to £1,150,000 for projects that
last between two to five years. Applications must be for
a mix of capital and revenue funding within these
thresholds:
●●
Capital development funding of up to £50,000
●●
Capital funding between £250,000 and £800,000
●●
Revenue funding of between £50,000 and
£300,000.
We can fund all your project costs. You are encouraged
to identify partnership funding from other sources;
however you don’t have to.
What can you apply for?
Through CAT2 we will fund the development of assets
that have been transferred from the public, private or
other sectors to the third sector applicant. Assets can
include:
●●
buildings with or without land attached
●●
land only.
Whatever type of asset is proposed, you must be able
to demonstrate it will have a clear end use. For building
transfer this might include an opportunity to refurbish,
convert or extend the building to make it fit for the
intended use. For a land only transfer this might include
an opportunity for developing forestry and nature
reserves, ecotourism, localise food production or localise
energy generation.
The transfer can be freehold or leasehold. Wherever
possible the transfer must be made at either nil-cost or
significantly below market value, for example a
peppercorn rent or a very low purchase price. The
organisation, person or business transferring the asset
must make no financial gain.
Applications which propose a higher value transfer will
only be considered in exceptional circumstances. In such
cases you must be able to demonstrate in your
application that the transfer cost is significantly below
market value and will be funded from other sources.
Where a leasehold agreement is made, this must be for
a minimum of 99 years. Where this is not possible, and
in exceptional circumstances, a minimum 50 year term
may be considered.
We will not fund single use assets or assets that have
already been transferred.
Capital development funding
As part of your stage one application you can ask for a
development grant of up to £50,000 (including VAT
that you cannot recover). If you are successful at this
stage you can use this development funding to help you
develop the capital elements of your stage two
application. The following lists the type of expenditure
that we will and won’t pay for.
Eligible capital development expenditure includes:
●●
professional fees to develop the project designs to
RIBA Stage 3
●●
capital surveys – such as an asbestos refurbishment
and demolition survey
3
●●
costs associated with planning / building regulations
or other statutory applications
●●
legal costs associated with progressing the land
transfer negotiations
●●
costs associated with obtaining specific VAT advice.
Ineligible capital development expenditure includes:
●● costs incurred in developing the stage one
application
Eligible capital expenditure includes:
●● building and engineering works (refurbishment,
modernisation or conversion) needed to run the
project
●●
extensions as part of a wider project, where you can
demonstrate that this is intrinsic to your project
●●
plant and equipment necessary for running the
project
●●
costs incurred or spending committed before we
make you a development grant award
●●
purchase of equipment or fixtures and fittings that
are linked to the land or building
●●
costs which someone else is paying for whether in
cash or in-kind
●●
●●
physical capital works
professional and legal fees associated with the capital
element of the project, for example the legal costs
incurred by you such as certificate of title and legal
charge
●●
professional fee costs for services rendered beyond
RIBA Stage 3 (equivalent of RIBA E).
●●
a contingency sum of around 10 per cent of the total
capital project costs
●●
VAT on eligible capital expenditure where appropriate
(contact your local VAT office for advice).
You can find more information about what you can
include in your development funding budget in Section
8 of the early stage capital guidance document.
You should tell us how much capital development
funding you are asking for, what it will be used for and
how you have worked out your costs in question 5.8 of
this application form. The capital development costs
included in this question must reflect those included in
the capital cost spreadsheet.
If you progress to stage two of the application process
the capital development funding must be spent by April
2016.
You must be able to start your development work
within one month of when we inform you of our
decision on your stage one application.
Capital funding
You can apply for capital funding of between £250,000
and £800,000 towards the cost of developing the
asset to achieve the project’s objectives and outcomes.
The following lists provide an idea of the type of capital
expenditure that we will and won’t pay for. The lists are
not exhaustive, and in assessing your application we
may need to discuss this in detail or amend some items.
4
Ineligible capital expenditure includes:
●● costs incurred in developing your stage one
application
●●
costs incurred or spending committed before we
make you a stage two grant (that are not eligible as
part of your capital development grant)
●●
costs which someone else is paying for, whether in
cash or in kind
●●
routine repairs and maintenance (although these
costs can be included in the revenue budget)
●●
general improvements to public areas unless they are
essential to the project
●●
substantial demolition and rebuilding of an asset
unless it can be demonstrated that this is the most
appropriate option
●●
housing only developments
●●
extensions from short term lease arrangements to
long-term lease arrangements (this excludes licenses
for less than 12 months)
●●
personal equipment not essential to running the
project
●●
fixed or loose equipment or office equipment which
is not essential to the project
●●
the purchase of minibuses or other forms of
transport.
Revenue funding
You can apply for revenue funding of between £50,000
and £300,000 towards the operating costs and
overheads of your project for between two to five
years. These costs may increase over the first couple of
years of your project as you begin to set up and deliver
services from your asset. However, we would expect
them to reduce each year as your activities begin to
generate an income. How you choose to taper your
funding should reflect your plans to deliver services and
generate income from your completed facility.
We will pay for a range of revenue costs required for
running your project. You may also wish to consider
planning or development work to ensure the facility’s
long-term sustainability. This can include work to raise
the profile of the project, building relationships with the
community and other stakeholders.
Eligible revenue expenditure includes:
●● salaries of staff working on your project, for example
a project or facilities manager, including any extra
costs such as pensions and National Insurance
●●
professional and legal fees associated with revenue
expenditure on the project, for example, if your
solicitor needs to provide us with a legal opinion
●●
travel and transport
●●
overheads.
By overheads we mean the costs of employees,
volunteers, equipment, space and services that support
the project you want us to fund, but also support your
other work.
We may make a contribution towards your overheads.
Work out how much support the project you want us to
fund needs from the people, equipment and spaces that
make up your overheads. Calculate the cost of this
support then divide this figure by the percentage of the
eligible revenue and capital costs you are asking us to
fund. In the application you are required to explain how
you have worked this out. This is also referred to as ‘full
cost recovery’.
Further guidance on this can be found on our website.
Ineligible revenue expenditure includes:
●● costs incurred or expenditure committed before we
make you a grant
●●
salaries of management staff who only supervise
project staff, including any extra costs such as
pensions or National Insurance
●●
recruitment of staff who will work on the project
●●
expenses of project staff and volunteers, including
●● items that only benefit an individual and are not
travel, accommodation, telephone bills and stationery
needed to deliver the project outcomes
rent, heating, lighting and insurance for office space
●● travel outside the UK
and buildings only used for this project
●● direct funds to build up a reserve or surplus, whether
building maintenance
distributable or not
training of staff and volunteers working on this
●● loans or loan repayments
project
●● contributions to general appeals.
monitoring and evaluation of the project (you will be
VAT
required to procure an external evaluation)
We need to know that you have considered your VAT
fundraising for continuing the project after our grant position for your project. When calculating the total cost
has finished
of your project you should take into account any
potential non-recoverable VAT costs that may arise.
marketing and publicity for the project
If you are registered for VAT, you can apply to us for the
translation costs
cost of non-recoverable VAT only. Organisations not
website infrastructure, including increasing central
registered for VAT should include VAT costs in their
server capacity and interconnection costs
budget. We will consider any application for nonsoftware
recoverable VAT costs and include the agreed amount in
the grant, where appropriate.
website content design and development (including
●●
●●
●●
●●
●●
●●
●●
●●
●●
●●
the use of consultants or designers)
●●
costs which someone else is paying for, whether in
cash or kind
If we agree to fund the cost of VAT, which you then
5
recover, you will be liable to repay all or some of it to us,
based on the following principles:
●●
if we have funded all of the recoverable VAT costs for
your project, you must refund all of the VAT
recovered to us
●●
if we have funded a proportion of the recoverable
VAT costs for your project, you must refund the
same proportion of the VAT recovered.
We cannot provide VAT advice so we recommend you
contact your local Revenue and Customs office or a VAT
expert to find out how much VAT you can recover on
the cost of your project.
What makes a good application?
We’ll assess your application against the following
criteria:
1.Need: Is the project needed?
2.Outcomes: Will the project bring about the changes
we are looking for?
3.Approach: Is the way the project will be delivered
realistic?
4.Capability: Do you have the skills, experience and
resources to deliver the project?
The following guidance explains what we will be looking
for when we assess your application against these
criteria. Use it to help you complete your application.
Need
Need is the term we use to describe a problem, issue or
situation where something needs to change to make
things better for a person, a group of people or an area.
In part three of your application you should explain to us
why your project is the best way to meet the identified
need and bring about your proposed outcomes.
When we assess your application we will be particularly
interested in:
XXhow you intend to use the asset once it is completed.
In particular the activities, opportunities and services
that it will provide for the local community
(question 2.2)
XXthe overall aim of your project and why you think it’s
a good idea. Your aim should be a brief statement of
the purpose of your project. You should also tell us
how you know that this asset will be of real benefit
and will be used by the wider community (question
6
3.1)
XXhow well you have demonstrated the need for your
project. You should tell us why your project and the
services you will provide from your finished facility
will help you address the need you have identified,
bring about your proposed outcomes and how you
have established this. Include details of recent and
relevant consultation with your beneficiaries and
stakeholders including geographical communities and
communities of interest. Identify the key
stakeholders, their roles and responsibilities and the
commitments they have made to the project
(question 3.2)
XXhow your project will work with any existing services
and how it will fill any gaps. Also, how the project
responds to local needs and priorities and fits with
wider local strategies (question 3.3).
To see some examples and help you give us the best
possible answer to these questions, read the section on
our website about Identifying need.
Outcomes
We call the key changes or differences a project will
make ‘project outcomes’.
In your application we ask you to:
XXbriefly describe what difference your project will
make by listing four proposed project outcomes and
explain how these outcomes link to our programme
outcomes which are listed on page 2 of this guidance
(questions 4.1 and 4.2)
XXexplain how you will generate income or secure other
resources to ensure that you can continue to
maintain the asset and provide the proposed services
and activities after our funding ends (question
4.3).
For more information about project outcomes and help
to provide the best possible answer to this question,
including worked examples, see the Applying for funding
section of our website
Approach
The underlying principle of this programme is to enable
community ownership and management of assets and
your plans for this should be clearly explained in your
application. This can include reference to your
partner(s), other third sector organisations that will use
the finished building and community users.
You should relate your evidence to the geographical
community or where relevant, the community of
interest.
We would encourage you to consider including
members of the community in the management
committee or board of the lead organisation and the
management committee of the asset once it’s
completed. Tell us if you plan to do this.
We will consider:
XXto what extent beneficiaries have been involved in
developing the project and whether this will continue
during its delivery (question 5.1)
XXhow you intend to promote your project to let
people know about the proposed asset transfer and
the services and facilities that it will offer and how
you will ensure that it meets our equalities
requirements. To learn more about equality issues
visit www.biglotteryfund.org.uk/about-big/ourapproach/equalities/learn-about-equality (question
5.2)
XXHow you will meet our Welsh language requirements.
(question 5.3)
Under the Big Lottery Fund’s Welsh Language Scheme,
projects must show that they are accessible to Welsh
speakers in their community. See the website for full
information www.biglotteryfund.org.uk/about-big/
customer-service/welsh-language-scheme
XXhow well your project costs have been calculated,
and what you will use our funding for. If you are
including salary costs, please tell us how many staff
you are employing. Include any assumptions made on
VAT and inflation. Tell us whether any of your costs
are based on quotations. Tell us how your
stakeholders or partners have been involved in
helping you work out your costs (questions 5.4,
5.5, 5.6, 5.7, 5.8, 5.9, 5.10, 5.11 and CPDP)
Capability
We want to know how your management team will run
this project and ensure that the completed facility
operates effectively.
Our assessment of your application will consider:
XXhow you will secure the necessary skills, resources
and expertise to manage the project effectively. We
are particularly interested in the skills you have within
your organisation relating to business development
and management of an asset of this type (question
6.1)
XXyour organisation’s experience and track record of
managing similar projects. This includes any
experience people in your organisation have of
managing large capital projects like this as well as any
knowledge and experience you have of delivering the
services you propose to run from the completed
facility (question 6.2)
XXthe strength of the structures and processes you
have in place for working in partnership with other
organisations. Tell us what experience you and your
partners have of managing similar projects. We will
want to know how long you have worked with your
project partner(s) and whether you have any
informal agreements or formal contracts in place
(question 6.3).
You must send a copy of your organisation’s business
plan, if you have one. This can be in its own format but
should describe your business, its objectives, its
strategies, the market it operates in and its financial
forecasts. We will review your business plan in order to
help us assess your organisation’s readiness and
capability to take over an asset. If you don’t have a
business plan tell us why.
XXyour marketing and communications plans
(question 5.12)
XXhow well the project has been planned, with
appropriate structures and controls in place to
manage delivery, finance and risk (question 5.13
and CPDP).
7
What else do I need to know?
Help with your application
Our Getting funding and planning successful projects
guide explains our approach to funding and has
examples that will help you complete your application. If
you use it to help you fill in this form, your application is
more likely to be successful.
Organisational Support
If you are invited to stage two of the application
process, we want to support you to develop the best
possible application. To help you we are going to offer
applicants invited to stage two with access to free
support to plan and develop their application.
●●
obtaining a valuation from an appropriately qualified
source
●●
using a recognised information source
●●
taking the original purchase price and applying
normal depreciation rates.
If you are successful at stage two of this process
you will need to provide evidence that any other
funding on the capital element of the project is
secured before starting construction activities on
site.
Working in partnership
We will only give grants to applicants that have formed
strong partnerships. Central to that partnership should
We also know that taking on new areas of work and
be the lead applicant (the third sector organisation that
meeting our requirements may mean that you need to
the asset is being transferred to), and the person or
improve your range of skills. If you are awarded a full
grant at stage two, support will continue to help you get organisation that owns the asset being transferred. The
lead organisation must complete and submit this
your project started. Future support may also be
application. If the person or organisation that currently
available to help you deliver your project successfully
owns the asset doesn’t want to remain part of the
and achieve your outcomes.
project after the asset is transferred briefly tell us why
Asset transfer requirements
in question 6.3.
You must be able to confirm the details of the person or
You may also choose to work with other organisations
organisation that is transferring the asset, and their
commitment to transfer the asset to you. This may be in to manage and run your project. We may require a
formal partnership agreement to be in place and
the form of:
approved by us before the project can start.
●● a letter signed by the Chief Executive or person of
Annual accounts
similar authority in the transferring organisation
You must be able to provide a copy of your most recent
●● pre-contract agreements.
approved accounts, signed and dated by your chair,
This evidence should be submitted with this application. secretary or treasurer and by your auditor or
independent examiner, where appropriate. Please send
Other sources of funding
You can include other sources of funding in your budget. us your accounts by email. If this is not possible, we will
accept paper copies provided they are sent on time.
These can be monetary or in kind. Tell us about any
other sources of funding and if you have secured it in
question 5.5. Tell us, where possible, whether the
funding will contribute towards your capital or revenue
costs. In kind contributions include volunteer labour, free
input from architects and designers, gifts or materials,
use of facilities and equipment.
To estimate a value for in kind contributions, you may
need to come up with some reasonable way of
assessing them. For example, the value of the
equipment could be calculated using one of the
following methods:
●●
8
identifying the cost of an item of comparable age
and condition
The accounts you send us should not be more than 12
months old. However, we realise that this can be
difficult if your organisation’s financial year-end
coincides with the period in which you are sending us
your application. If this is the case for you, send us your
previous accounts and a copy of your most recent
management accounts. If you are a new organisation,
(established for less than 15 months) you must send us
signed and dated estimates of your income and
spending for the first year of the grant.
Evaluating your project
If we award you a grant, we want to be confident that
your project makes a difference and identifies
opportunities for improvement. As part of your project
we want you to appoint an external organisation to
evaluate your project. You should budget for this within
your grant application under ‘Monitoring and evaluation’
allowing between 5 and 10 per cent of your revenue
costs.
Cheques, internet and other withdrawals must be
signed or authorised by at least two people who are not
related to each other and do not live at the same
address. Internet or telephone only bank account users
should be able to set up multi users to authorise
account transactions. If your internet or telephone only
bank cannot meet this requirement you must provide
evidence that they have effective account management
controls that match it.
State Aid
If our funding could give you an advantage over other
organisations offering similar services, or if the activities
you want us to fund could affect trade between EU
member states, then our funding might be considered
to be ‘State Aid’. There are strict rules governing state
aid so it’s important we check projects carefully so that
we can follow those rules where necessary.
If we award you a grant you will need to set up a
separate bank or building society account for the sole
purpose of receiving and administering Big Lottery Fund
grants.
Any funding we offer will be based on the assumption
that although the money provided by us constitutes
state resources, the purpose for which it will be used will
not lead to it being considered as unapprovable state
aid. If the purpose of the funding is subsequently
deemed to be unapprovable, then we may withdraw it.
For more information about State Aid visit
www.bis.gov.uk/policies/europe/state-aid
Governance requirements
Governance means the way your organisation is set up
and run. It is about the procedures, policies, documents
and management arrangements you have in place for
the way you administer and control your organisation,
including its finances and delivery of what it has been
set up to achieve. For information read the Good
Governance Guide on our website.
You must provide us with a copy of your governing
document (for example, constitution set of rules or
Trust deed). We will use this to confirm that your
organisation is eligible to apply to this programme. We
might ask you, through your solicitor, to provide us with
a legal opinion which confirms that under your
governing document your organisation has the power
to deliver the grant purpose.
The separate and designated account must bear the
legal name of your organising and state BIG in brackets,
for example ‘The Blue Team (BIG)’. Current or recent
grant holders can use the same BIG designated and
separate bank account.
What happens when?
Your completed stage one application and organisation
business plan must reach us by noon on Wednesday
20 May 2015. We won’t accept any applications after
this date.
We will let you know if we are inviting you to submit a
stage two application by the end of October 2015.
Successful applicants will need to complete and return
their stage two application in April 2016. We intend to
make final decisions on grant awards by the end of
October 2016.
More information on round two will be available in
spring 2016. We expect to award grants under round
two in December 2017.
Bank account requirements
All organisations that receive a grant from us must have
a UK-based bank account or building society account in
the name of their organisation as shown on their
governing document.
9
Part one: Provide your details
1.1 What is the full legal name of your organisation, as shown on your governing document?
Please check this - if the full legal name is incorrect it may delay your application.
1.2 Does your organisation use a different name in your day to day work?
Yes No go to question 1.3
If yes, what other name do you use?
1.3 What is the main or registered address for your organisation?
If we offer you a grant, this is the address we’ll send our offer letter to, so make sure you can safely receive
post at this address. We recommend this to be your organisation’s office address, but if you don’t have an office
your registered address may be a home address.
Enter your organisation’s address including full postcode.
Phone number or textphone number one
Email address (if applicable)
Phone number or textphone number two
(if applicable)
Fax number
(if applicable)
Organisation website (if applicable)
10
1.4 What type of organisation are you?
Charity
Registered Charity
Exempt Charity
Charitable Incorporated Organisation
Excepted Charity
Charitable Unincorporated Association
Charitable Trust
Charity (Royal Charter or Act of
Parliament)
Company or
mutual society
Community Interest Company – Listed
publicly
Company – Limited by Shares
Company – Limited by Guarantee
Limited Liability Partnership
Company – Listed publicly
Community Interest Company – Limited
by Shares
Industrial and Provident Society
Co-operative
Community Interest Company – Limited
by Guarantee
Other
Non-charitable unincorporated
organisation
Parochial Church Council
Church-based faith organisation
Other
1.5 Give any reference or registration numbers you have
Give any reference or registration numbers you have.
Charity Commission for Northern Ireland (or HMRC reference number)
Charity Commission for England
and Wales
Companies House Financial Conduct Authority
Office of the Scottish Charity Regulator Other reference or registration numbers, enter and provide details below:
You must send a copy of your governing document with your application.
1.6 When was your organisation set up?
Give the date when your organisation adopted its current legal status. This should be on your governing
document. All organisations need to provide this. If you don’t know the exact day or month please give us an
approximate date.
Give the date when your organisation adopted its current legal status.
Day
Month
Year
11
1.7 What is your VAT status?
VAT registered
Not VAT registered
If you are registered for VAT what is your registration number?
Your VAT number should be between 9 and 12 numbers long and have no spaces.
For more information on VAT see HM Revenue & Customs website.
1.8 Is your organisation independent, or a branch or department of a larger organisation?
Independent
An independent organisation will have its own governing document and can manage its own funds and staff.
Branch or dependent
To be able to apply to us a branch must have its own governing document (or will have adopted its parent
organisation’s governing document), produce its own annual accounts (which may be included in its parent
organisation’s accounts) and have a bank or building society account in the legal name of the branch as shown in its
governing document and be responsible for how the funds in it are spent.
If ‘Branch or dependent’ is ticked, what is the name and address of the larger organisation?
Related organisation name
Related organisation’s main or registered address including full postcode
If we offer a branch a grant we will ask the larger organisation to accept overall responsibility for it. For branches
where there is insufficient local control, the parent organisation will need to apply.
If you are a branch but are not sure if you can apply, please contact us for advice.
1.9 How many people are on the committee that runs your organisation?
12
1.10 Are there any restrictions on who can join your organisation?
Yes
No go to question 1.11
If yes, what restrictions are there and why do you have them?
XXIf your organisation has a membership we expect this to be open to all and that anyone can join, unless you can
provide a good reason why not.
XXWe would expect there to be an open and transparent joining process, including a right of appeal. For this reason
we usually consider proposing and seconding to admit new members to be unacceptable.
You can write up to 400 characters with spaces (about 50 words)
1.11 What is your organisation’s current financial position?
Select one option and fill in the amounts from your accounts or projection.
Information from the latest accounts approved by your organisation
12 month projection because you’ve been running less than 15 months
Accounting year ending:
Day
Month
Year
Total income for the year:
Total expenditure for the year:
Surplus or deficit at the year-end:
Total savings or reserves at the year-end:
Where can we find your latest accounts?
We’re attaching our accounts to this form, or a projection if we’ve been running less than 15 months.
Have your accounts been independently audited?
Yes
No
If yes, what is the name and address of your auditor?
13
1.12 Your contacts
We need the date of birth and home address for all of your contacts. This includes a previous address if they’ve not
lived at their current address for three years.
We use this to carry out some basic identity checks as part of our standard fraud prevention process, so please
check that the information provided is correct. All organisations, including schools and statutory organisations,
need to provide this.
Our identity check may appear on a credit report, but it’s not a credit check and can only be seen by the person
we’re checking, so their credit rating won’t be affected. You can find out more in our Good Governance Guide
(available by searching ‘good governance’ on our website or by contacting our Big Advice Team) and the Data
Protection policy at the end of this form.
a) Primary contact
Who should we contact if we have questions about your application?
Surname
TitleForenames
Date of birth
Day
Month
Year
Job title or position
Primary contact home address and full postcode
Have they lived at this address for the last three years?
Yes
No - you must give previous home address
Primary contact previous home address and full postcode
Communicating with you
Daytime telephone
Evening telephone
Mobile telephone
Email
If you have any particular communication needs, tell us what they are
14
What address should we use for any correspondence?
Write ‘organisation’ if this is the same as the organisation’s registered address.
We’d like to keep in touch with your organisation about the Big Lottery Fund including information about new
funding programmes and other Lottery good causes. If you’d rather not receive this type of information,
please tick this box.
Which language would you like us to use whenever we get in touch with this contact?
Welsh
English
b) Legally responsible contact
Who in your organisation will be legally responsible for the funding?
This cannot be the same person as the primary contact.
The legally responsible contact must be over 18 years old and is responsible for ensuring that this application is
supported by the organisation applying, any funded project is delivered as set out in the application form and that
the funded organisation meets our monitoring requirements.
The legally responsible contact must hold one of the following positions. Please tick one box.
Organisation type
Legally responsible contact
Company
Director
or
Company secretary
All other types of organisations
Chair
or
Vice chair
or
Treasurer
Please tick to confirm the primary and legally responsible contacts are different people
TitleForenames
Surname
Date of birth
Day
Month
Year
Job title or position
15
Legally responsible contact home address and full postcode
Have they lived at this address for the last three years?
No - you must give previous home address
Yes
Legally responsible contact’s previous home address and full postcode
Communicating with you
Daytime telephone
Evening telephone
Mobile telephone
Email
If you have any particular communication needs, tell us what they are
Which language would you like us to use whenever we get in touch with this contact?
Welsh
16
English
Part two: What will your project do?
2.1 What would you like to call your project?
Give your project a short title, something we can use in publicity if you are successful.
You can write up to 70 characters (including spaces).
2.2 What does your project involve?
By ‘project’ we mean the event or activities you plan to carry out using our funding. Be specific about what you will
do, how you will do it and who will benefit.
You can write up to 2,000 characters (about 300 words).
2.3 When are you planning to start and finish your project?
Make sure the dates you put fit with the key dates under ‘What happens when?’ at the beginning of this form.
Your start date must be within six months of our final decision in October 2016.
Estimated start date
Day
Month
Year
Month
Year
Estimated finish date
Day
17
Part three: Why is your project needed?
3.1 Why is your project a good idea?
Tell us why you want to do this project – what does it aim to address? Include any evidence you have to show why
your project is needed and describe what backing or support you have from the people, communities or
organisations who will benefit.
Make sure it’s clear how your answer fits with what we want this programme to achieve. We describe this under
What’s it all about? at the beginning of the form.
You can write up to 2,000 characters (about 300 words).
3.2 How do you know there is a need for your project?
Describe the evidence you’ve gathered from:
●●
the success of any previous work you’ve done
●●
research you or others have completed
●●
any consultation you or others doing similar work have carried out with the people, communities or
organisations who would benefit.
You can write up to 2,000 characters (about 300 words).
18
3.3 How will your project fit with what others are doing?
Tell us about any gaps in existing services or provision that mean your project is needed and what evidence there is
in relevant local, regional or national plans or strategies that shows your project is needed.
Make sure it’s clear how your project will be additional to anything statutory bodies have an obligation to provide,
as we can’t fund this work.
You can write up to 2,000 characters (about 300 words).
3.4 Please tell us who currently owns the asset being transferred
Name
Organisation type
Statutory Individual
Private company
Other (please specify)
Third sector
Main or registered address including full postcode
How long has this organisation owned the asset?
Is the cost of the asset transfer
a) Nil cost
b) Significantly below market value
If your answer is b, please tell us the market value of the asset, the proposed transfer cost
and how you will cover the cost of the transfer.
Is your transfer a freehold or leasehold?
Freehold
Leasehold (please tell us the length of the lease)
19
Part four: What difference will your project make?
4.1 How will people, communities or organisations benefit from your project?
Describe four changes you expect your project to bring about, using straightforward language. We call these your
project outcomes.
You’ll find the outcomes we want this programme to achieve under What are we looking for? at the beginning of
the form.
Having more outcomes won’t necessarily make your application stronger - we’re interested in the kind of changes
you’re trying to bring about. To learn more about outcomes read our Getting funding and planning successful
projects guide, which has examples of project outcomes.
You can write up to 150 characters in each box (about 30 words).
1.
2.
3.
4.
4.2 Explain how your project will achieve the programme outcomes
Write up to 2,000 characters (about 300 words).
20
4.3 How will the asset be sustained in the long run?
How will you fund the running costs of the asset beyond the life of our funding and make sure it continues to
provide benefits for your organisation and the people who will use it?
XXTell us how you plan to secure ongoing revenue funding for activities and services that will be delivered and
capital funding for any maintenance. This may include grant funding, private funding or income generation
through social enterprise.
XXExplain how you will ensure that there will be ongoing demand for the activities and services to be delivered.
You can write up to 2,000 characters (about 300 words).
21
Part five: How will you carry out your project?
5.1 How will the people, communities or organisations who will benefit from your project be involved in
developing and running it?
Explain how you’ve involved (or will involve) the people, communities or organisations who will benefit as you’ve
developed your plans and describe the input and say they will have whilst you are running your project. Summarise
any policies and procedures you have put in place to make sure they have an ongoing role.
In some cases it may not be appropriate to involve them and if this is the case with your project, explain why this is.
You can write up to 2,000 characters (about 300 words).
5.2 How will you promote your project to the widest possible range of people?
Explain how you plan to let people know about the event or activities you are asking us to fund and how you will
make sure that everyone who could benefit from your project will know about it. We are particularly interested in
hearing how you will make sure that people from different backgrounds and those facing particular communication
barriers will know about your project.
If you don’t plan to promote your project, tell us why.
You can write up to 2,000 characters (about 300 words).
22
5.3 How will you make sure that everyone who could benefit from your project will be able to do so in
Welsh or English?
We’ll expect you to provide a bilingual service to the public in Wales, so you’ll need to ensure that:
●●
you promote your project in Welsh and English and produce bilingual versions of all publicity materials, including
publications and websites
●●
all posts paid for by our funding are advertised bilingually and you consider whether the post needs to be filled
by a Welsh speaker
●●
you consider the linguistic nature of the community in which you’ll be working.
To learn more about these requirements read our guidance on managing your project bilingually.
You can write up to 2,000 characters (about 300 words).
23
24
5.4 How much will your project cost and how much would you like from us?
The start up and other costs you can ask us for are explained at the start of the form. Only include VAT in this table if you can’t recover it from HM Revenue and Customs.
Guidance on how to calculate your organisation’s overheads can be found on our website at www.biglotteryfund.org.uk/full-cost-recovery
Year one (£)
Total
Cost
Revenue
Start up costs
Salaries, NI and
pensions
Freelance fees
Recruitment
Training
Travel and other
expenses
Accommodation and
utilities
Insurance
Maintenance
Marketing and
communications
Monitoring,
evaluation and
learning
Professional and
legal fees
Support and
development
Translation costs
Other
Revenue total
Amount
from us
Year two (£)
Total
Cost
Amount
from us
Year three (£)
Total
Cost
Amount
from us
Year four (£)
Total
Cost
Amount
from us
Year five (£)
Total
Cost
Amount
from us
Overheads
Staff
Accommodation
Utilities
Other
Overheads total
Capital
Start up costs
Site purchase costs
Construction costs
Refurbishment costs
Equipment, fixtures
and fittings
Professional and
legal fees
Contingency
Inflation
Other
Capital total
Final total
25
Budget summary
When you’ve completed the previous table, add the total VAT you expect to recover to this summary.
Amount
from us
Revenue
Start up costs
Salaries, NI and pensions
Freelance fees
Recruitment
Training
Travel and other expenses
Accommodation and utilities
Insurance
Maintenance
Marketing and communications
Monitoring, evaluation and learning
Professional and legal fees
Support and development
Translation costs
Other
Revenue total
Overheads
Staff
Accommodation
Utilities
Other
Overheads total
Capital
Start up costs
Site purchase costs
Construction costs
Refurbishment costs
Equipment, fixtures and fittings
Professional and legal fees
Contingency
Inflation
Other
Capital total
Total
26 Total for entire project
Amount
from
other
sources
Total cost VAT you can
excluding
recover
recoverable
VAT
Total cost
including
VAT
Is the total cost (excluding recoverable VAT) more than the amount you’d like from us?
Yes, answer question 5.5
No, go to question 5.7
5.5 If you need any other funding, where will you get this from and have you secured it yet?
Complete the table if the total project cost (excluding recoverable VAT) is more than the amount you’re asking us
for. If you still need to raise funds from other sources you must be able to show that you will be able to do this and
it will not affect your project or cause a delay.
XXInclude any contribution you plan to make from charges, your own savings or from general fundraising.
XXInclude contributions from any partner organisations.
Funding source
Amount you plan to raise per year
One
Two
Three
Four
Have you
secured it?
Five
Yes
If not
secured,
when do
you
expect a
decision?
No
Total
27
5.6 How have you worked out your costs?
XXExplain what your costs are based on, for example, quotes, estimates or what it has cost before.
XXBe as specific as you can as to how you’ve calculated your costs, for example, explain how you’ve calculated VAT
or inflation costs.
XXIf you’ve included any ‘in kind’ contributions, explain how you’ve calculated these.
You can write up to 2,000 characters (about 300 words).
5.7 Do you require development funding?
Development funding is available to help you develop your application if you progress to the next stage. Check
what development costs you can apply for at the beginning of this form. If you receive development funding this
does not commit us to funding your application at the next stage.
Yes, answer question 5.8 – 5.11
No, go to question 5.12
5.8 How much development funding do you need?
The development costs you can ask us for are explained under What can you apply for? at the beginning of the
form.
XXInclude the costs of everything you will need to do to develop your project, even if you’re not asking us to fund
it.
XXBe as detailed as you can, using clear headings followed by a short description.
XXOnly include VAT if you can’t recover it from HM Revenue and Customs.
XXUse a different row for each heading.
Item or activity
Total cost (£)
Total development costs
28
Amount from us (£)
Are the total development costs more than the amount you’d like from us?
Yes
No
If yes, where will you get the other funding from and have you secured it yet? You can write up to 2,000
characters (about 300 words).
5.9 How have you worked out your costs?
XXExplain what your costs are based on, for example, quotes, estimates or what it has cost before.
XXSet out any assumptions you’ve made, for example, about VAT or inflation.
XXIf you’ve included any ‘in kind’ contributions, explain how you’ve calculated these.
You can write up to 2,000 characters (about 300 words).
5.10 How will this money help you?
Explain how your development activities will help you plan and prepare a funding application to the next stage.
You can write up to 2,000 characters (about 300 words).
29
5.11 When are you planning to start and finish your development work?
Make sure the dates you put fit with the dates under What happens when? at the beginning of this form. Your
start date must be within one month of when we inform you of our decision.
Start date
Day
Month
Year
Month
Year
Finish date
Day
5.12 How will you promote your project and publicise your achievements?
Describe who your target audience is, the marketing and communications work you’ll do, the format this will take
and the main messages you want to get across.
You can write up to 2,000 characters (about 300 words).
5.13 What project planning have you already done?
Describe the project planning activities you’ve completed so far.
XXSummarise the work that has been carried out to develop your project, including who completed it, who else
was involved and how the work has been incorporated in this application.
XXInclude a timeline with dates for key milestones, such as meetings that have taken place or decisions that have
been reached.
You can write up to 2,000 characters (about 300 words).
30
Part six: Do you have the skills, experience and resources to run your project?
6.1 How will you make sure your organisation can deliver your project?
Explain how you’ll find the time, money, people, skills and expertise you’ll need.
Also tell us about any support and development needs your organisation or staff have and how they will be met.
You can include any associated costs that will help the project run more effectively in your budget, under the
heading Support and Development. Please provide a breakdown of how the amount requested will be spent in your
answer here
You can write up to 2,000 characters (about 300 words).
6.2 What experience do you have in running similar projects?
Provide details of your organisation’s relevant experience, what you’ve learned from your previous work and how
this will help you with the project you’d like us to fund.
You can write up to 2,000 characters (about 300 words).
31
6.3 Partner organisations
Summarise:
●●
the relevant experience of your main partners
●●
their role within the project
●●
their involvement in the project so far.
You can write up to 2,000 characters (about 300 words).
6.4 Will your project involve working with children, young people or vulnerable adults?
Yes, confirm details below
No, go to part seven
As a minimum we expect you to:
●●
have safeguarding policies appropriate to your organisation’s work and what you are asking us to fund, which
you review at least every year
●●
complete a rigorous recruitment and selection process for staff and volunteers who work with children, young
people or vulnerable adults, including checking criminal records at least every three years and taking up
references
●●
follow statutory or best practice guidance on appropriate ratios of staff or volunteers to children, young people
or vulnerable adults
●●
provide child protection and health and safety training or guidance for staff and volunteers
●●
carry out a risk assessment and secure extra insurance, if appropriate.
Does your organisation meet these requirements?
Yes
No – you should not apply to us until you do
NSPCC provides a range of child safeguarding advice and information services for the whole of the UK which can be
accessed by visiting www.nspcc.org.uk, emailing [email protected] or by calling 0808 800 5000.
32
Part seven: Check your application is complete
Tick the boxes to confirm that:
You have provided evidence that the transferring person or organisation is committed to the transfer.
You have emailed us your latest accounts, or a projection if you’ve been running for less than 15 months.
You understand and meet our bank account requirements. You have sent us a copy of your governing document You have emailed us your draft partnership agreement, if applicable.
You have emailed us your organisation business plan.
You have emailed us a completed capital project delivery plan, capital spreadsheet and any necessary
supporting documents.
You have met our requirements if your organisation is a branch or department of a larger organisation.
Declaration
The legally responsible contact must tick the box below to confirm that:
●●
the organisation named in Part one completed the application form and will deliver the project
●●
the information you have given is accurate and true
●●
your application has been authorised by the governing body of your organisation (the board or committee that
runs your organisation)
●●
your organisation has the legal power to deliver the project you have described in this form
●●
you understand that if you make misleading statements or withhold information at any point, your application
will be invalid and you will be liable to repay any money you have received
●●
you will be able to meet our Standard Terms and Conditions of grant, a draft copy of which are available on our
website
●●
you agree we may use the information you have provided for the purposes described under Data Protection
below
●●
you accept that if information about this application is requested under the Freedom of Information Act
we will release it in line with our Freedom of Information Policy which you can find at
www.biglotteryfund.org.uk/about-big/customer-service/freedom-of-information
I agree
TitleForenames
Surname
33
Data protection
We will use the information you give us during assessment and during the life of your grant (if awarded) to
administer and analyse grants and for research purposes. We may give copies of all or some of this information to
individuals and organisations we consult when assessing applications, administering the programme, monitoring
grants and evaluating funding processes and impacts. These organisations may include accountants, external
evaluators and other organisations or groups involved in delivering the programme.
We may share information with organisations and individuals with a legitimate interest in Lottery applications and
grants or specific funding programmes. Contact details of successful applicants may be passed on to Members of
Parliament, Members of Scottish Parliament, Assembly Members and Members of the Legislative Assembly for the
purposes of informing them of the applicant’s success. We have a duty to protect public funds and for that reason
we may also share information with other Lottery distributors, government departments, organisations providing
matched funding or for the prevention and detection of crime.
Your information may be transferred to an IT service provider based outside the European Economic Area (EEA). If
your information is transferred outside the EEA, we will ensure it is sufficiently protected.
We will use personal information provided by you in order to conduct appropriate identity checks. Personal
information that you provide may be disclosed to a credit reference or fraud prevention agency, which may keep a
record of that information.
If you provide false or inaccurate information in your application or at any point in the life of any funding we award
you and fraud is identified, we will provide details to fraud prevention agencies to prevent fraud and money
laundering. If you are a company this will include the names of the Company Directors at the time of the fraud. You
must undertake to inform all Directors, Trustees and Committee members of this notice.
You can obtain further details explaining how the information held by fraud prevention agencies may be used by
emailing [email protected], by telephoning our advice line on 0845 4 10 20 30, or by writing
to:
Customer services
Big Lottery Fund
2 St James’ Gate
Newcastle upon Tyne
NE1 4BE
Freedom of Information Act
The Freedom of Information Act 2000 gives members of the public the right to request any information that we
hold. This includes information received from third parties, such as, although not limited to grant applicants, grant
holders, contractors and people making a complaint.
If information is requested under the Freedom of Information Act we will release it, subject to exemptions;
although we may choose to consult with you first. If you think that information you are providing may be exempt
from release if requested, you should let us know when you apply.
Welsh Language Act
Under the Welsh Language Act 1993 all public bodies in Wales and organisations that receive funding from public
bodies in Wales must meet the requirements of the Act in providing a bilingual service to the public in Wales.
Further information about our Welsh language scheme is available on our website
www.biglotteryfund.org.uk/about-big/customer-service/welsh-language-scheme
34