Application guidance Catalyst heritage: Building fundraising capacity

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Catalyst heritage: Building fundraising capacity Umbrella grants from £100,000 to £500,000

Application guidance

December 2012 www.hlf.org.uk

Catalyst heritage: Building fundraising capacity Umbrella grants from £100,000 to £500,000

Application guidance

Contents

Part one: Introduction Welcome How to register Who we fund What we fund The difference we want to make Costs we can cover Your contribution Other information about your application

Part two: Application process Making an application How we assess applications How decisions are made

Part three: Receiving a grant Terms of grant Acknowledgement Images Monitoring Permission to start Grant payment Buying goods, works and services Insuring works and property Evaluation

Part four: Application form help notes Section one: Your organisation Section two: The heritage Section three: Your project Section four: Project outcomes Section five: Project management Section six: After the project ends Section seven: Project costs Section eight: Additional information and declaration Section nine: Supporting documents

Appendices Appendix 1: Writing a capacity building and training plan Appendix 2: Evaluation Appendix 3: Writing a partnership agreement

Glossary

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Catalyst heritage: Building fundraising capacity Umbrella grants from £100,000 to £500,000

Application guidance

Part one: Introduction

Welcome Catalyst umbrella grants are part of a broader partnership initiative between the Heritage Lottery Fund (HLF), the Department for Culture, Media and Sport, and Arts Council England to encourage more private giving to culture and heritage, and to build the capacity and skills of cultural and heritage organisations to fundraise from private donors, corporate sources and trusts and foundations.

Please note that you cannot make simultaneous applications to different Catalyst initiatives. For example, if you want to apply for an umbrella grant, you cannot simultaneously apply for an individual grant (£3,000–£10,000).

About this guidance This guidance will help you decide whether this is the right programme for you, as well as providing you with the information you’ll need to plan an application at both the first and second rounds.

Catalyst umbrella grants is a £3million initiative for umbrella bodies primarily concerned with providing support for heritage organisations. Projects will deliver a range of capacity building services, learning and networking opportunities to enable heritage organisations to increase the funding they receive from private sources.

Read Part one: Introduction and Part two: Application process to find out about what we fund and how to apply.

The Catalyst umbrella grants initiative is open to organisations and partnerships working across the heritage sector or parts of the sector, and across the UK or a part of the UK. You can apply for a grant from £100,000 to £500,000.

Part four: Application form help notes provides information to help you answer each of the questions on the application form.

The initiative is intended to: increase the capacity of heritage organisations to access funding from private sources; bring additional private money into the heritage sector; improve the financial sustainability of heritage organisations. There is one opportunity to apply for a Catalyst umbrella grant. The closing date for registration is 31 January 2013. The application process is in two rounds.

December 2012

Part three: Receiving a grant tells you about how we will work with you if you receive a grant.

The appendices expand on our requirements, and we have defined some of the terms we use in a glossary at the back.

How to register If you want to apply, you will need to register online at www.hlf.org.uk by 31 January 2013 and send us a project enquiry form. Staff in your local HLF office will get in touch within 10 working days to let you know whether your project fits this initiative and whether you should continue with your application. We recommend that you read Parts one and two of this application guidance before sending us your project enquiry.

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Catalyst heritage: Building fundraising capacity Umbrella grants from £100,000 to £500,000

Application guidance

Who we fund

What we fund

Under this programme, we fund applications from:

Through this initiative, we fund projects which build capacity in heritage organisations to access private sources of funding. We also want to support work which enables heritage organisations to become financially sustainable through other means, such as increased trading, in-kind donations or efficiency savings.

not-for-profit organisations; and partnerships led by not-for-profit organisations. We welcome partnership bids. Applicants will need to demonstrate what additional benefits partners can achieve. Examples of potential partners include those with expertise in private fundraising and training, or other umbrella bodies which cover a different part of the heritage sector or geographic area. If you are applying as a partnership, you will need to nominate a lead applicant. The lead applicant should provide a signed partnership agreement showing the involvement of each partner and how the project will be managed. See Appendix 3: Writing a partnership agreement for more information. As this initiative aims to build capacity amongst heritage organisations, we would normally expect to fund projects led by an umbrella body with a strong focus on the heritage sector and not, for example, by a learning or training provider. If for-profit organisations are involved in a project, we expect public benefit to be greater than private gain. Here are some examples of the types of organisations we fund: community or voluntary groups; Community Interest Companies; charities or trusts; social enterprises; parish councils; local authorities; other public sector organisations, such as nationally funded museums.

Through this initiative, we encourage heritage organisations to adopt new, perhaps untried methods of raising funds. Capacity building and training programmes should support these organisations to achieve a real stepchange in fundraising behaviour. We recognise that change takes time, and we know that implementing these new methods may not yield funding or financial benefits immediately. By ‘heritage organisations’ we mean organisations which aim to look after or engage people with heritage.

Heritage includes many different things from the past that we value and want to pass on to future generations, for example: archaeological sites; collections of objects, books or documents in museums, libraries or archives; cultural traditions such as stories, festivals, crafts, music, dance and costumes; historic buildings; histories of people and communities; histories of places and events; the heritage of languages and dialects; natural and designed landscapes and gardens; people’s memories and experiences (often recorded as ‘oral history’); places and objects linked to our industrial, maritime and transport history; and natural heritage including habitats, species and geology.

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Catalyst heritage: Building fundraising capacity

Application guidance

Umbrella grants from £100,000 to £500,000

When we say project, we mean work or activity that: is defined at the outset; has not yet started; will take no more than three years to complete; will contribute to achieving the outcomes we describe. Your project should: build capacity amongst heritage organisations to benefit financially from private sources, such as individual or corporate donations, or trusts and foundations; include a strong theme of peer-learning/ sharing of learning within the heritage sector. Examples of methods you may wish to use include: case studies; visits to other organisations who have had fundraising success; seminars delivered by fundraisers from heritage organisations themselves; and online communities; include innovative and efficient training and development techniques that really inspire learning and application of theory to practice, leading to sustainable capacity building changes; seek to strengthen relationships, where this will lead to improved financial sustainability. Examples of this work may include helping a heritage organisation to recruit new trustees with strong links in the corporate sector, or helping heritage organisations to work in partnership with others (who might be from the same or different sectors), where there is the potential for learning/innovation/ efficiency savings; benefit organisations with a specific focus on looking after or engaging people with heritage, and those with a need for fundraising capacity building services and the potential to make a step-change in their fundraising behaviour; involve heritage organisations in its design, delivery and review;

December 2012

share the learning and successes with other heritage organisations; be between one and three years in length; build sustainable changes within heritage organisations. Your project may also; support heritage organisations to understand, develop and implement effective Full Cost Recovery models, to further support the funding of ‘core’ costs; support heritage organisations to widen their reach, build relationships and networks, and engage with under­ represented communities, where this will lead to increased financial benefit for the heritage organisation; build capacity amongst heritage organisations in areas such as marketing, audience analysis, outcomes measurement and demonstration, profile raising and governance, where this will lead to improved ability to attract funding. In a recent HLF survey the issue most heritage organisations said they would like help with was to build their case for support, and to make ‘the ask’; involve volunteers in its delivery. The assessment process is competitive and we cannot fund all of the good-quality applications that we receive. As a guide, the following are unlikely to win support: projects outside of the UK; projects where the main focus is meeting your legal and/or statutory responsibilities, such as the requirements of the Equality Act 2010; promoting the cause or beliefs of political and faith organisations. If your project is designed to benefit people in Wales, we expect you to make appropriate use of the Welsh language when you deliver your project.

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Catalyst heritage: Building fundraising capacity Umbrella grants from £100,000 to £500,000

The difference we want to make

Application guidance

Outcomes for heritage: With our investment, heritage will be: better managed

We describe the difference we want to make to heritage, people and communities through a set of outcomes. These outcomes reflect the full range of what we want to achieve and are drawn directly from our research into what HLF-funded projects have actually delivered.

Outcomes for people: With our investment, people will have: developed skills Outcomes for communities: With our investment: your organisation will be more resilient

Your project should contribute towards all three Catalyst umbrella grants outcomes. For more information, please see Section four: Project outcomes in Part four: Application form help notes.

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Catalyst heritage: Building fundraising capacity Umbrella grants from £100,000 to £500,000

Costs we can cover Direct project costs Your application should include all costs that are directly incurred as a result of the project. Direct project costs include: new staff posts; extra hours for existing staff; the cost of filling a post left empty by moving an existing member of staff into a post created for the project; equipment and materials for training; train-the-trainer costs; networking and peer learning events;

Application guidance

Full Cost Recovery For voluntary organisations, we can also accept part of an organisation’s overheads (sometimes called ‘core costs’) as a part of the costs of the project. We expect our contribution to be calculated using Full Cost Recovery. We cannot accept applications for Full Cost Recovery from public sector organisations, such as government-funded museums, local authorities or universities. Your organisation’s overheads might include overall management, administration and support, or premises costs that relate to the whole organisation. We can cover a proportion of the cost of an existing member of staff, as long as they are not working exclusively on the HLF-funded project.

payments/bursaries for trainees; professional fees; capital work; activities to engage people with heritage; evaluation; promotion; and extra costs for your organisation, such as a new phone, extra photocopying, new computers or extra rent. Direct project costs do not include:

Recognised guidance on calculating the Full Cost Recovery amount that applies to your project is available from organisations such as the Association of Chief Executives of Voluntary Organisations (ACEVO) (www.acevo.org.uk) and Big Lottery Fund (www.biglotteryfund.org.uk). You will need to show us how you have calculated your costs, based on recent published accounts. You will then need to tell us on what basis you have allocated a share of the costs to the project you are asking us to fund, and we will assess whether this is fair and reasonable.

the cost of existing staff time; existing organisational costs. Please read about our requirements for buying goods, works and services in Part three: Receiving a grant.

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Catalyst heritage: Building fundraising capacity

Application guidance

Umbrella grants from £100,000 to £500,000

Your contribution We ask you to make a contribution towards your project. We describe this as ‘partnership funding’ and it can be made up of cash, volunteer time, non-cash contributions, or a combination of all of these. Some of your partnership funding must be from your own organisation’s resources. Under this initiative, you must contribute at least 5% of project costs.

Other information about your application Freedom of information and data protection We are committed to being open about the way we will use any information you give us as part of your application. We work within the Freedom of Information Act 2000 and the Data Protection Act 1998. When you submit your declaration with your application form you are confirming that you understand our obligations under these Acts.

Complaints If you want to make a complaint about HLF, we have a procedure for you to use. This is explained in Making a complaint, a document available on our website. Making a complaint will not affect, in any way, the level of service you receive from us. For example, if your complaint is about an application for funding, this will not affect your chances of getting a grant from us in the future

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Catalyst heritage: Building fundraising capacity

Application guidance

Umbrella grants from £100,000 to £500,000

Part two:

Application process

Making an application

Register your interest You submit your project enquiry form.

You will need to register your interest in making an application by 31 January 2013, and will have the option of attending a project enquiry workshop on 19 February 2013. You will need to submit your first-round application by 29 March 2013. We expect to see outline proposals for the capacity building and training programmes you will deliver, the geographic area you will cover and the range and number of heritage organisations you will reach. We will expect to see details of any partners involved in the delivery of your projects, along with the role they will play. We will also expect to see detailed proposals for the work you will do in your development phase. We will assess your application and it will go to our Board of Trustees for a decision in May 2013. During your development phase you will prepare your capacity building and training plan (see Appendix 1: Writing a capacity building and training plan), where you will give us detailed information about the capacity building interventions, training and networking opportunities you will deliver, as well as firming up your management structure, costs and delivery timetable. You should also consider how you will evaluate your project. Please see Appendix 2: Evaluation. You decide how long you need to develop your second-round submission but we must receive it by 30 September 2013. We will assess it in 8 weeks and then it will go to the next available decision meeting. If you find you need more time to complete your secondround submission, it must first be agreed with your case officer.

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Optional workshop You may attend a workshop to learn more about the initiative and build potential partnerships.

First-round application You submit your first-round application with your delivery-grant request and, if needed, a development-grant request.

Development phase If you are successful, you enter your development phase and develop your capacity building and training plan, using the development grant you may have requested.

Second-round submission You submit your second-round submission with your delivery-grant request.

Delivery phase If you are awarded a grant, you enter your delivery phase and start your project using your delivery grant.

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Catalyst heritage: Building fundraising capacity Umbrella grants from £100,000 to £500,000

Application guidance

How we assess applications

How decisions are made

When we assess your first-round application and second-round submission, we will consider the following:

Applications for Catalyst umbrella grants are decided on by our Board of Trustees. At the first round, these applications will compete against other applications across the UK.

the range, type and number of heritage organisations that will benefit from the project; the capacity building needs or opportunities the project responds to; the outcomes the project will achieve; whether your project offers value for money; whether the project is well planned;

Our decision makers use their judgment to choose which applications to support. In doing so, they may take account of: a broad geographical distribution of projects across the UK; the extent to which an even spread of projects benefitting all parts of the heritage sector is achieved.

whether the project is financially realistic; whether the project outcomes are likely to be sustained after the project has ended. In addition we will look at: the quality, innovation and efficiency of the teaching and learning interventions planned; the extent to which your project promotes peer learning amongst heritage organisations; the extent to which your project builds relationships amongst heritage organisations, and with other stakeholders (such as funders) where the outcome will lead to financial benefit from private sources; whether the project supports heritage organisations to improve their understanding of Full Cost Recovery and enhances their ability to implement this system within their own organisations.

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Catalyst heritage: Building fundraising capacity

Application guidance

Umbrella grants from £100,000 to £500,000

Part three:

Receiving a grant

Terms of grant

Monitoring

If you are awarded a grant, you will need to comply with our terms of grant, which you can see on our website. The standard terms of Catalyst umbrella grants will last for the duration of the project.

When you are awarded a grant, we will contact you about arranging a start­ up meeting. At this meeting you may be introduced to a monitor who will help review risks. We will review your project at suitable stages.

Acknowledgement

Permission to start

We want people to know that the National Lottery has supported your project through HLF. If you are awarded a grant, you must acknowledge our funding using a grantees’ acknowledgement logo. We will give you guidance on this and can provide some acknowledgement materials free of charge.

If you are awarded a grant you will need to have our written permission before you start any work on your development phase or your delivery phase. In order to grant you permission to start, you will need to provide us with:

Images If you are awarded a grant, you will also need to send us images of your project. These can be hard-copy photographs, transparencies or high-resolution digital images. You give us the right to use any images you provide us with. You must get all the permissions required before you use them or send them to us.

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proof of partnership funding. We may exceptionally consider a realistic fundraising plan instead; cost breakdown and cash flow; project management structure and your method of buying goods, works and services; your bank details, authorised signatories, and a signed hard copy of the declaration and permission to start request form.

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Catalyst heritage: Building fundraising capacity

Application guidance

Umbrella grants from £100,000 to £500,000

Grant payment When you are awarded a grant, we will calculate the percentage of cash that we are contributing towards the project. We describe this as the ‘payment percentage’. For development grants of less than £100,000 we pay your grant in three instalments. We will give you 50% of the grant up-front, then 40%, and then 10% once you have finished your development phase. For development and delivery grants of £100,000 or more, we pay instalments of our grant after the work that you are asking us to pay for has been done. We will pay the payment percentage of claims submitted to us. At your start-up meeting we will decide with you how frequently you will make payment requests. We will retain the last 10% of your delivery grant until we are satisfied that the project is complete and necessary evidence has been provided.

Buying goods, works and services You must get at least three competitive tenders or quotes for all goods, work and services worth £10,000 or more (excluding VAT) that we have agreed to fund. For all goods, works and services worth more than £50,000 (excluding VAT), you must provide proof of competitive tendering procedures. Your proof should be a report on the tenders you have received, together with your decision on which to accept. You must give full reasons if you do not select the lowest tender. Beyond certain published limits, and when public sector funds (including our grant) make up more than 50% of the cost of your project, you must follow all European Union (EU) and

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World Trade Organisation (WTO) regulations for buying goods, work and services. You can find useful information and guidance on the Cabinet Office website. If you are unsure about your obligations, we advise you to take professional or legal advice. If you have already procured goods, works or services, you will need to tell us how you did it. We cannot pay your grant if you have not followed the correct procedure. You must advertise all new staff posts. If you are looking to recruit a consultant for your development phase and your delivery phase, you should make sure their contract clearly states that this is the case, and allow for break clauses (in case your second-round submission is unsuccessful). If you do not, we may ask you to re-recruit after the second-round decision has been made.

Insuring works and property We need to protect Lottery investment while you are carrying out your project, and so we ask you, with your contractors, to take out insurance for any property, works, materials and goods involved. All of these must be covered for their full reinstatement value against loss or damage, including inflation and professional fees.

Evaluation We recommend you build in evaluation from the beginning of your project. You can include the cost of this in your budget. At the end of your project, you must send us a project evaluation report before we pay the last 10% of your grant (which will include the quantitative and qualitative information specified in Appendix 2: Evaluation). We will carry out our own programme evaluation research and will ask you for additional information on your project outcomes as part of that work.

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Catalyst heritage: Building fundraising capacity

Application guidance

Umbrella grants from £100,000 to £500,000

Part four: Application form help notes First-round applicants: In order to plan your development phase, you need to understand what information is required with your second-round submission. You should therefore read the help notes for first-round applications and second-round submissions, as well as Appendix 1: Writing a capacity building and training plan.

Second-round applicants: As part of your development phase, you will have produced a range of documents to support your second-round submission. You will only need to fill in Sections one, four and seven of the application form.

There are word limits to some of the answers you may give; these are shown on the online form.

Section one: Your organisation 1a. Address of your organisation. Include your full postcode. If the project is being delivered in partnership, please insert the address of the lead organisation.

1b. Is the address of your project the same as the address in 1a? Fill in as appropriate. If identifying the postcode is difficult, provide the address and postcode of the nearest building.

1c. Details of main contact person. This person must have official permission from your organisation to be our main contact. We will send all correspondence about this application to this person, at the given email address.

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1d. Describe your organisation’s main purposes and regular activities. Tell us about the day-to-day business of your organisation. Tell us about any previous experience of delivering capacity building support services for heritage organisations, and any particularly successful outcomes you have achieved with this work.

1e. The legal status of your organisation. Fill in as appropriate. If you are not a local authority, but report to the government (such as a state school or university), please tick ‘other public sector organisation’. If your type of organisation is not listed, please tick ‘other’. This might include a Community Interest Company or a social enterprise. If you are not a public sector organisation, you will also need to tell us about your organisation’s capacity by providing information about your staff structure, your governing body and your financial situation.

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Catalyst heritage: Building fundraising capacity

Application guidance

Umbrella grants from £100,000 to £500,000

1f. Will your project be delivered by a partnership?

England: East of England

Fill in as appropriate.

England: North West

If you are applying as a partnership,

there must be a lead applicant.

England: South East

England: North east

England: South West England: West Midlands

1g. Are you VAT-registered? Fill in as appropriate.

Section two: The heritage

England: Yorkshire & Humberside Provide an explanation of why the heritage your beneficiary groups focus on is important, and who it is important to. This could include experts and/or the local community. Second round

2a. What is the heritage your project focuses on? First round Your project will focus on building the capacity of other heritage organisations, so in this section, tell us about the heritage they focus on. Tell us how many organisations you serve, and how many you plan to reach through your project. Of these organisations, tell us about the types of heritage they focus on, giving a percentage for each of the following categories: historic environment museums, libraries and archives industrial, maritime and transport landscape and natural heritage intangible heritage (such as the preservation of memories, or oral history projects) all of the above Tell us where in the UK the majority of these organisations are based, giving a percentage for each of the following categories: Wales Northern Ireland Scotland England: East Midlands England: London

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Include updated information in your capacity building and training plan, as part of your second-round submission.

Section three: Your project 3a. Describe what your project will do. Tell us how you will increase the capacity of heritage organisations to benefit financially from private sources; bring additional private money into the heritage sector; and, improve the financial sustainability of heritage organisations. Tell us how you will promote peer learning amongst your beneficiary group. If applicable, tell us how you will support heritage organisations to understand and implement appropriate Full Cost Recovery systems within their organisations. Provide outline information about what you will do during your delivery phase. The majority of your project should be focused on the delivery of capacity building, networking, training and development support services. Describe how you will deliver high quality capacity building and training services. Tell us briefly: how long your project will last;

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Catalyst heritage: Building fundraising capacity

Application guidance

Umbrella grants from £100,000 to £500,000

what your project outputs will be – for example, how many heritage organisations you will support, and how many networking events/training courses you will deliver; what sorts of topics you anticipate focusing your support services on; what methods you will use, for example, networking events, mentoring, peer-learning seminars, training events, etc, and how you will really inspire learning and application of theory to practice, leading to sustainable capacity building changes; where you anticipate your support services will take place; who you anticipate will deliver capacity building/training services. If a partner organisation will deliver these services, give the name of the organisation, a brief description of their role and expertise, and stipulate what services they will deliver. If a member of staff from within your organisation will deliver these services, briefly describe their expertise and experience; how you will ensure capacity building staff, trainers and facilitators are sufficiently qualified and that beneficiaries will receive a consistent quality of service; what support you will offer capacity building staff, trainers and facilitators (e.g. train-the-trainer training, supervision sessions, skills sharing opportunities); how your project will ensure

beneficiaries will have safe,

healthy and accessible learning

spaces and interventions.

Tell us how you plan to ensure your project will benefit those organisations with a specific focus on looking after or engaging people with heritage, and those with a need for fundraising capacity building services. Second round Include updated information in your capacity building and training plan, as part of your second-round submission.

3b. Explain what need and opportunity your project will address. Provide outline information about the evidence you have to support the need for your application. Tell us what you know about the current skills gaps and capacity building needs the heritage organisations you support have, with regard to accessing funding from private sources. Tell us about any other research which supports the case for your project addressing a specific opportunity. For example, if you have involved any private funders (such as individuals, corporate donors or trusts and foundations) in your research, and considered what their needs are, are there any particular opportunities you have identified?

3c. Why is it essential for the project to go ahead now? Tell us if there are particular time-sensitive opportunities that your project is responding to.

Tell us how you will publicise your project and ensure wide participation, including minority groups, such as those that are underrepresented in heritage organisations. Also tell us how you will ensure organisations located in remote geographic areas can benefit from your project.

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Catalyst heritage: Building fundraising capacity

Application guidance

Umbrella grants from £100,000 to £500,000

3d. Why do you need Lottery funding? First round Tell us about any other sources of funding that you have considered for this project. Tell us what will happen if you do not get a grant from us. Second round Include updated information in your capacity building and training plan, a part of your second-round submission.

3e. What work and/or consultation have you undertaken to prepare for this project and why? First round Tell us about the options you have considered, and why this project is a suitable response to the problems and opportunities identified in 3b. Tell us about any consultation you have done and how this has shaped your project proposals. Second round Include updated information in your capacity building and training plan, a part of your second-round submission. Add information in line with any consultation or survey work you have done during your development phase.

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Section four: Project outcomes In question 3a, you told us what your project will do and produce. Use this section to tell us about what your project will achieve – what change will be brought about by our investment? We want to see that your project will make a lasting difference to heritage, people and communities. It’s likely that you will have achieved a number of outcomes before the end of your project, but some may be achieved in the future as well. Your project should contribute towards all three Catalyst umbrella grants outcomes, through supporting heritage organisations to achieve these outcomes. Questions 4a, 4b and 4c We have provided descriptions of outcomes for heritage, people and communities, to help you understand the difference that we want to make with our funding. First round Tell us about the outcomes that your project may achieve with our funding. Second round Provide more detail in line with any work you have done during your development phase.

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Catalyst heritage: Building fundraising capacity

Application guidance

Umbrella grants from £100,000 to £500,000

4a. What difference will your project make for heritage?

4b. What difference will your project make for people?

As a result of HLF investment:

As a result of HLF investment:

Heritage will be better managed

People will have developed skills

There will be clear improvements in the way that you manage heritage. This could include the implementation of a new management and maintenance plan, securing additional staff, Trustees or other resources that you need, or the more effective use of existing resources. As a result of these improvements, you will be able to show that the heritage you manage is in a stronger position for the long term, including, if appropriate, a stronger financial position. These improvements to managing the heritage are likely to mean that you can meet national or sector quality standards.

Individuals will have gained skills relevant to ensuring heritage is better looked after, managed, understood or shared (including, amongst others, fundraising, strategic analysis and business planning skills). As a result of taking part in a structured training activity – people involved in your project will be able to demonstrate competence in new, specific skills, and where appropriate, will have gained a formal qualification.

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Catalyst heritage: Building fundraising capacity

Application guidance

Umbrella grants from £100,000 to £500,000

4c. What difference will your project make for communities?

4d. How many people will be trained as part of your project? First round

As a result of HLF investment: Your organisation will be more resilient Your organisation will have greater capacity to withstand threats and to adapt to changing circumstances to give you a secure future. You will achieve this greater resilience through stronger governance and greater local involvement in your organisation; increased management and staff skills; fresh sources of expertise and advice; and working in partnership to share services, staff and resources. You might have new volunteers who increase your capacity and skills; or new sources of income through commercial activity, endowments or new fundraising programmes. You will be able to show that your organisation is stronger and in a better position for the future as a result of the changes you made as part of your project.

Provide estimates for the number of organisations, and the number of people from those organisations, who will be trained as part of your project. By “trained”, we mean those who have benefitted from your capacity building services in some way, whether through training courses, networking events, peerlearning seminars or one-to-one mentoring. Also tell us the number of your staff and/ or volunteers who will receive training and development support as part of your project. This should be based on information given in question 3a. Second round Update in line with planning work you have done during your development phase.

4e. How many full-time equivalent volunteers do you expect will contribute personally to your project? First round Provide an estimate. Second round Update in line with planning work you have done during your development phase.

4f. How many full-time equivalent posts will you create to deliver your project? First round Provide an estimate; only include new posts that will be directly involved in delivering the project. Second round Update in line with planning work you have done during your development phase.

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Catalyst heritage: Building fundraising capacity

Application guidance

Umbrella grants from £100,000 to £500,000

Section five:

Project management

5c. Complete a detailed timetable for the development phase of your project. First round

5a. What work will you do during the development phase of your project? First round Tell us how you will produce all the supporting documents required with your second-round submission. These are listed in Section nine: Supporting documents. Second round You do not need to answer this question

Fill in the table with specific tasks during your development phase and tell us who will lead these activities. Include time for us to grant you permission to start (Please read about permission to start in Part three: Receiving a grant). Tell us when you are hoping to submit your second-round submission. Second round You do not need to answer this question.

5b. Who are the main people responsible for the work during the development phase of your project? First round Provide detailed information about the team that will work on your development phase, including the person who will take overall responsibility. Tell us if you will need extra support from consultants or new staff. Explain who is responsible for making decisions and approving changes to your project. Describe the reporting structure and how often meetings will take place. Describe how you will choose the staff, services and goods needed during your development phase. Tell us whether you will be making changes to the governance of your organisation, to enable you to deliver your project more effectively. You will also need to send us: job descriptions for all new posts for your development phase; briefs for any consultants for your development phase.

5d. Tell us about the risks to the development phase of your project and how they will be managed. All projects will face threats and opportunities that you need to identify and manage. We are looking to see that you understand the range of risks that you may face and are in a good position to manage them. First round Use the table to tell us what the risks are for your development phase. You may find it useful to refer to the help note for question 5g. When you enter your development phase, it’s likely that your project proposal will be quite outline. Information that you gather during your development phase through consultation and survey work may mean that you need longer for your development phase than you had planned for, or that you need to do more investigation than you thought. Thinking about these risks now will help you manage them should they arise. Second round You do not need to answer this question.

Second round You do not need to answer this question.

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5e. Who are the main people responsible for the work during the delivery phase of your project? First round Provide outline information about the team that will work on your delivery phase, including the person who will take overall responsibility.

organisational – for example, a shortage of people with the skills you need or staff needed to work on other projects; economic – for example, an unexpected rise in the cost of materials; social – for example, negative responses to consultation or a lack of interest from your target audience;

Tell us if you will need extra support from consultants or new staff.

management – for example, a significant change in the project team;

Explain who is responsible for making decisions and approving changes to your project. Describe the reporting structure and how often meetings will take place.

legal – for example, changes in law that make the project impractical.

Second round Include updated information in your capacity building and training plan, as part of your second-round submission.

5f. Complete a summary timetable for the delivery phase of your project.

The risks you identify will affect the amount you allocate to contingency in Section seven: Project costs. Second round Include updated information in your capacity building and training plan, as part of your second-round submission.

First round

5h. When do you expect the delivery phase of your project to start and finish?

Identify the main tasks in your delivery phase.

Fill in the boxes.

Second round

You will not be able to start the delivery phase of your project until your second-round submission has been successful.

Include updated information in your capacity building and training plan, as part of your second-round submission.

5g. Tell us about the risks to the delivery phase of your project and how they will be managed. First round Use the table to tell us what the risks are for your delivery phase. Here we want to see that you have started to think about the possible problems that you may face during your delivery phase. These risks could be: financial – for example, a reduced contribution from another funding source;

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Section six:

After the project ends

6a. How will you maintain the outcomes of your project after the grant ends? First round Provide outline information about how you will maintain the outcomes of your project, which you identified in Section four: Project outcomes. Second round Include updated information in your capacity building and training plan, as part of your second-round submission.

6b. How will you evaluate the success of your project from the beginning and share the learning? First round Please read about evaluation in Part three: Receiving a grant. Tell us about how you will collect baseline data during your development phase so that you can evaluate the change your project makes during your delivery phase. Second round Include updated information in your capacity building and training plan, as part of your second-round submission.

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Section seven: Project costs

Columns Cost heading

Here you should provide a summary of your project costs, using a single line per cost heading. As is shown in Section nine, you will also need to provide a separate spreadsheet showing how these summary costs are broken down. First round We expect your development-phase costs to be detailed. Your delivery-phase costs should be based on your best estimates.

The costs in this column are summary headings that we ask you to follow. Description Please add a general description and include more detail in your separate spreadsheet. Cost Please insert the relevant costs – without VAT and contingency (money to be used only for unexpected extra costs). VAT (Value Added Tax)

Second round We expect you to provide detailed costs for your delivery phase.

Make sure that you only include VAT in this column and not in the costs presented in the third column.

Your delivery-phase costs may have changed as a result of detailed planning and survey work completed during your development phase. However, we will not be able to increase our delivery grant.

You may not pay VAT on certain types of work or may only pay it at a lower rate. You should approach HM Revenue & Customs (www.hmrc.gov.uk) to check how much VAT you will need to pay.

Please read about buying goods, works and services in Part three: Receiving a grant.

We cannot authorise the transfer of any part of the project costs to or from VAT. This means that if you underestimate VAT, you will have to pay the extra costs, and if your VAT status changes so you can reclaim more than you expected, you will need to return this to us. You should make sure that all quotes you get clearly show whether VAT is included or not.

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7a. Development-phase costs

Full Cost Recovery

First round

Please read about Full Cost Recovery in Part one: Introduction.

Professional fees Fees should be in line with professional guidelines – and should be based on a clear written specification. In your separate spreadsheet, you must use a separate line for each consultant. New staff costs Include costs of new fixed-term contracts, secondments (people who are temporarily transferred to your organisation) and the costs of freelance staff to help develop your project. In your separate spreadsheet, you must use a separate line for each new member of staff. You must advertise all posts and base salary levels on sector guidelines or similar posts elsewhere. You may move existing members of staff into a position that has been created for a project but you must justify, in your application, that they are the most suitable person for the post. In this situation we can only contribute to the costs of filling the position then left empty. It is these costs you should add here. Recruitment This can include advertising and travel expenses. We expect your organisation to keep to good human-resource practice and follow all relevant laws. Other

Contingency Make sure that you only include contingency here and not in the costs under each heading. Not all cost items will need a contingency. We will only agree to you using the contingency if you can show an unexpected need within your project. Non-cash contributions Include items or services that you receive without charge, for example a donation of materials from a local firm or the use of a room. We only accept non-cash contributions if they are costs we could pay for with cash. Volunteer time Include the time that volunteers will give to helping you develop your secondround application. You should use the following rates for different types of work. Professional labour – £350 a day. For example – accountancy or legal advice. Skilled labour – £150 a day. For example, administrative work. Unskilled labour – £50 a day. For example, working as a steward at a consultation event. Second round You do not need to answer this question.

Include all other costs you know about at this stage.

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7b. Development-phase income.

7e. Delivery-phase activity costs.

First round

First and second round

Please read about your contribution in Part one: Introduction.

This includes the majority of your costs in a Catalyst umbrella grants application.

Cash We accept cash funding from any public, charitable or private source, including European programmes. You can use funding from another Lottery distributor to contribute towards your project as partnership funding. However, this can’t count towards your minimum contribution of 5%, which must be made up of contributions from your own or other sources, not including the National Lottery. You do not have to have all the contributions in place when you apply to us. However, you must have them by the time you are ready to apply for permission to start. We will assess whether your partnership funding expectations are realistic. Non-cash contributions and volunteer time These should be the same figures that you provided in question 7a. Second round You do not need to answer this question.

7c. Development-phase financial summary. The form will generate a summary of your total project development cost, development-grant request and your own contribution.

New staff costs For information on new staff posts, please see the help note for question 7a. Training for staff This includes the cost of all trainers and resources needed to deliver activities to help staff gain new or increased skills. Paid training placements This includes bursaries or payments to trainees (if you are intend to cover the costs of benchmarking visits to other heritage organisations), as well as all resources needed to deliver activities to help trainees gain new or increased skills. For example – accreditation costs, trainers fees, books/equipment or subscription to a fundraising database. Training for volunteers This includes the cost of all resources needed to deliver activities to help volunteers gain new or increased skills, which they will use to provide capacity building support services to your beneficiaries, or to support your staff in this work. Other forms of training are not a priority for this initiative and we would not expect these costs to be included. Travel for staff This may include the cost of travelling to a site or venue. Travel costs by car should be based on 45p a mile. Travel and expenses for volunteers

7d. Delivery-phase capital costs. First and second round We would not usually expect to see any costs in this section for Catalyst umbrella grants.

This may include food, travel and any other expenses to ensure volunteers are not out of pocket. Travel costs by car should be based on 45p a mile. Equipment and materials Examples may include stationery, computers or leaflets and publications. Do not include materials relating to training or volunteers here.

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Other

Full Cost Recovery

Include any other costs such as food for events, learning activities or premises hire. Please give a clear description.

Please read about Full Cost Recovery in Part one: Introduction. Contingency

Professional fees relating to any of the above This includes any person appointed for a fixed fee to help with planning and delivering the activities of your project. This may include consultants.

Make sure that you only include contingency here and not in the costs under each heading. Not all cost items will need a contingency. Your calculation for contingency should reflect: the degree of certainty with which you have arrived at your cost estimates;

7f. Delivery phase – other costs.

the project timetable; and

First and second round

the risk in relation to the type of project you are carrying out.

Recruitment This includes the cost of recruiting staff. You must recruit any project manager using a brief and an appropriate selection process.

We would normally expect a larger contingency at the first round than at the second round because the project risks should reduce as you develop your project.

Publicity and promotion

We will only agree to you using the contingency if you can show an unexpected need within your project.

We can fund promotional materials that relate directly to your project. If we give you a grant, you must publicise and acknowledge this so that as many people as possible know about the benefits of Lottery funding for heritage. Please read about acknowledgement in Part three: Receiving a grant. Evaluation You must evaluate your project and we recommend you allow sufficient budget for this process here. Staff in your organisation can do this, or, depending on the scale and how complicated your project is, you may want to employ somebody to help.

Inflation You should include an allowance for inflation for any items that may increase in cost over the period of your project. The calculation must be as realistic as possible and relate to your project timetable. Increased management and maintenance costs (maximum five years) Do not include costs in this budget line. Non-cash contributions For information about non-cash contributions, please see the help notes for question 7a.

Evaluation costs should not amount to more than 3% of your grant request.

Volunteer time

Other

Include the time that volunteers will give to helping you deliver your project. Please refer to the rates listed in question 7a.

Include any other costs. In your separate spreadsheet, please include a clear description.

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7g. Delivery-phase income. First and second round Please read about your contribution in Part one: Introduction. Cash For information about cash partnership funding, please see the help note for question 7b. Non-cash contributions and volunteer time These should be the same figures that you provided in question 7f.

Application guidance

Section eight: Additional information and declaration This part of the form aims to collect the information we need to report on the range of organisations we fund. We will not use this information to assess your application. When you submit your online form, you are confirming that you have read, understood and agree with the statements set out in the declaration.

7h. Delivery-phase financial summary First and second round The form will generate a summary of your total project delivery cost, delivery-grant request and your contribution.

7i. If cash contributions from other sources are not yet secured, how do you expect to secure these and by when? First round If you need to raise funds during your development phase, tell us how you will do this. Second round You do not have to have all the contributions in place when you apply to us. However, you must have them by the time you are ready to apply for permission to start your delivery phase or a realistic plan for raising them.

7j. If you have included Full Cost Recovery, how have you worked out the share that relates to your project? Please read about Full Cost Recovery in Part one: Introduction.

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Section nine: Supporting documents Please provide all of the documents listed at each round, unless they are not applicable to your project. First round 1. Copy of your organisation’s constitution, unless you are a public organisation. If you have sent a copy of your constitution with a previous grant application (since April 2008) and no changes have been made to it, you do not need to send it again. Tell us the reference number of the previous application. 2. Copies of your agreements with project partners, signed by everyone involved, setting out how the project will be managed (see Appendix 3: Writing a partnership agreement). 3. Copy of your organisation’s accounts for the last financial year. This does not apply to public organisations.

Second round For all projects: 1. A capacity building and training plan including cash flow for the project, a timetable, and the project management structure. 2. Copies of your agreements with project partners, signed by everyone involved, setting out how the project will be managed and containing all the information stated in Appendix 3: Writing a partnership agreement. 3. Spreadsheet detailing the cost breakdown in Section seven: project costs. 4. Calculation of Full Cost Recovery included in your delivery-phase costs (if applicable). 5. Briefs for internally and externally commissioned work. 6. Job descriptions for new posts to be filled. 7. A small selection of images that help illustrate your project, if appropriate. (See item 8 under First round for more information.)

4. Spreadsheet detailing the cost breakdown in Section seven: Project costs. 5. Calculation of Full Cost Recovery included in your development-phase costs (if applicable). 6. Briefs for development work for internally and externally commissioned work. 7. Job descriptions for new posts to be filled during the development phase. 8. A small selection of images that help illustrate your project, if appropriate. Examples of images you might provide including training or networking events you have delivered, or newsletters you have produced, which illustrate the quality and reach of your work. It would be helpful if these are in digital format (either as an attachment or on disk). We may use these images to present your project to decision makers. Please read about images in Part three: Receiving a grant.

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Application guidance

Appendices

Appendix 1: Writing a capacity building and training plan Introduction Your capacity building and training plan will form the main part of your second-round submission and it will become a statement of the activities you will be delivering as part of your HLF project. By ‘capacity building and training plan’, we mean a plan of activity that includes all services you will deliver to support heritage organisations to access funding from private sources (such as individual and corporate donors and trusts and foundations). This plan is the document in which you will set out the detail of everything you will do in your project, turning the outline proposals in your application into a detailed plan for successful delivery of your programme of capacity building, networking and training. We will assess whether your capacity building and training plan meets the outcomes of the Catalyst umbrella grants initiative. You can submit your plan at any point after your first-round pass and permission to start your development phase, but we must receive it by 30 September 2013. If you find you need more time to complete your second-round submission, it must first be agreed with your case officer.

organisation and your project – can only be done by you. How the application process relates to your capacity building and training plan In the Catalyst umbrella grants application form we ask you to describe in outline what your project will do (section 3); what the outcomes of your project will be (section 4); who will deliver your project (section 5b); the timetable for your project (section 5c); the risks to your project (section 5g); and how you will evaluate the success of your project from the beginning and share the learning (section 6b). If you are successful we will expect you to work up your answers to these questions to include all your project activity in the form of a capacity building and training plan. We will expect you to follow this guidance in creating your plan and we will discuss it with you when we agree you can start developing it. Your plan is specific to the Catalyst umbrella grants project you are asking us to fund; it is not the same as your plans for your everyday work or a general plan for your organisation’s training and capacity building activity. You should only include in your plan training and capacity building services that you will deliver using a Catalyst umbrella grant.

You should read this guidance before you complete the Catalyst umbrella grants application form as it will help you decide what development work you will need to do if your application is successful, who will do it, and what it will cost. We hope that you will be able to carry out most of the work to write your capacity building and training plan yourself. You may need to employ specialists for some tasks, but the most vital part of the process – making choices that are right for your

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Your capacity building and training plan Your capacity building and training plan should be organised in two sections: Where you are now Your project Where you are now You need to make sure your organisation has the right things in place to help you to deliver your capacity building and training project. No matter what size organisation you are, you might find other people’s experience helpful in developing your project so we are encouraging you to look outside your organisation for ideas. In this section of your plan you should: summarise your organisation/partnership’s commitment to training and capacity building, referring to key documents; describe what training and capacity building services you and partners currently offer, if any, particularly in regards to supporting heritage organisations to access private sources of funding; describe any particular skills gaps and support needs that exist amongst your beneficiary group (that relate to accessing private donations) and how you know this (update the information you provided in question 3b. Explain the need and opportunity that your project will address, in your first-round application);

Application guidance Explain the work and/or consultation you have undertaken during your development phase to help to shape your project. Update the information you provided us in your first-round application in question 3e. What work and/or consultation have you undertaken to prepare for this project and why? Provide detailed information about the team that have worked on your capacity building and training plan, including the person who has taken overall responsibility. Tell us who has been involved in helping you to develop your ideas; and what you have learnt from your or others’ past activities, such as other umbrella organisations. In the development phase of your project, you may have involved people who: enrich your project by providing services such as peer learning seminars, or site visits; deliver additional courses to supplement your programme; volunteer to help deliver your project; help govern, evaluate or disseminate your work. If you are working in partnership with other organisations to deliver your project, you should involve them in writing your capacity building and training plan.

summarise what you know about the opportunities that exist for your beneficiary group, with regard to accessing private sources of funding, and how you know this (update the information you provided in question 3b. Explain the need and opportunity that your project will address, in your first-round application); describe what you would like to do to build on good practice in your organisation/partnership; consider if everything is in place to make a capacity building and training project viable within your organisation.

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Your project

Capacity building and training

In this section of the plan you need tell us in detail what will your project do and how it will be managed.

Update and build on the information you provided us with in your first-round application in question 3a. Describe what your project will do. Tell us how you will organise your capacity building and training services. You should provide the following information:

What will your project do? Background First, update the information you provided us in your first-round application in question 2a. What is the heritage your project focuses on? Update using any findings from further research you have carried out during your development phase. Explain which heritage sectors you will focus your project on (for example, landscape and natural heritage, or museums, libraries and archives), and in which geographic areas of the country they operate. Set out how many heritage organisations you expect to benefit, and how you will ensure your project reaches organisations that: have skills gaps relating to accessing funding from private sources; and engage people with or look after heritage as a key focus of their work. Describe which geographic location(s) your services will be delivered in. Describe what you hope to achieve through your project, referring to Section four: Project outcomes of the application. Summarise how you will achieve these outcomes. Describe the topics your project will focus on, including any wider capacity building needs you have identified. Summarise the methods you will use to inspire learning (for example, networking events, group training courses delivered by an expert, mentoring, etc).

Describe in greater detail your approach to your capacity building and training services, including the methods you will use to inspire learning. Give as much detail as you can about the approach you will use and why you have chosen it. Tell us how many times you will deliver your services, and describe the content. For example, if you plan to deliver peer-learning seminars in three different geographic areas, tell us the topics each of these seminars will focus on (such as building relationships with corporate sector donors) and if this topic will change in each geographic area, or stay the same. You may find it helpful to break down your project by year, and to present some of this information in a Gantt chart, showing how all different project components relate to each other, and when they will be delivered. Describe how you expect participants to practise the skills learned through training, and apply the theory to practice in the real world, so that genuine change in fundraising behaviour is achieved. State how you plan to encourage the new skills and knowledge acquired by individuals to be embedded and shared across their organisation as a whole, and lead to sustainable changes in fundraising behaviour.

Tell us what your project outputs will be – for example, how many peer learning seminars or training events you will deliver.

Describe how you have considered the different learning styles and needs that beneficiaries may have, and how you will adapt your approach to capacity building and methodology accordingly.

If delivering your project in partnership with other organisations, give a brief description about the role each partner will play, referring here to your partnership agreement.

Describe the level at which capacity building will be provided, for example, will you focus on those with little or no knowledge of fundraising,

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will you offer services which aim to move people from beginner to intermediate level; or will you offer a range? Tell us about how you will meet any additional support needs the beneficiaries might have. For example, HLF may be able to provide support for organisations facing other challenges through alternative grant programmes. How will you refer beneficiaries and ensure they have access to the right support? Further details: what equipment or resources will be supplied to trainees, if applicable; who will deliver the capacity building and training services; how you will make sure the capacity building and training service is effective and high quality, for example, using specialist trainers who hold relevant training qualifications; how training will be accredited or linked to standards, if applicable; any ‘train the trainer’ sessions you plan to organise;

Application guidance How will you manage your project? Who will lead your project? If you decide to appoint a steering group or an advisory panel, you should tell us about the members, what their role will be and how often they will meet. You will need to include costs for these meetings in your budget. Explain who is responsible for making decisions and approving changes to your project. Describe the reporting structure (you may wish to provide a chart to illustrate this) and how often meetings will take place. Describe how you will choose the staff, services and goods needed during your delivery phase. Provide job descriptions for all project staff (with salaries), role descriptions for volunteers, and briefs for any freelance workers or consultants. Enclose a project management structure, including any partners who are involved in delivering your project. See Appendix 3: Writing a partnership agreement for further details.

any trainer or trainee networks or showcase events you plan to organise. Publicity, marketing and take-up of services Describe your marketing and publicity strategy, and how you plan to engage with your target beneficiary group, and ensure you have a high level of uptake of your capacity building services. If you are planning to serve a large geographic area with your project, how will you ensure that organisations based in remote areas will have access to it? Describe how you intend to continually analyse capacity building needs to ensure the training and services you are planning meet these needs. If you are planning to facilitate any heritage organisations to deliver an element of peer-learning as part of your project, how will you identify and engage with them?

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How will you evaluate your project and share your practice? When completing this section, refer to Appendix 2: Evaluation of the guidance notes to ensure you have covered all of the information we need. Summarise your measures of success and your plans to evaluate your project, including the experience of the beneficiaries, and others, such as those who will help to deliver peerlearning seminars. Set out what will happen once the project is complete to ensure there are long-term benefits. Set out how your organisation will be different after the project and how you will continue to develop. We want the Catalyst umbrella grants initiative to bring about a step-change in the fundraising behaviour of heritage organisations. Set out how you will share the lessons of your project to enable other umbrella bodies to enhance their own capacity building and training projects and benefit from your knowledge, expertise and any documentation you might have put in place. For example, you might produce a website or a film, organise a conference for the sector, or produce case studies.

Risk assessment You will need to revisit the risk assessment you provided in your application at 5g and provide an updated and detailed version in your capacity building and training plan. Your risk assessment should consider all of the things that might go wrong in your project and how you will deal with the risk, for example, losing key staff, low uptake of services amongst beneficiaries, partners unable to deliver key activities, complaints by beneficiaries about the quality of training. Timetable Provide a detailed timetable for the whole length of your project, updating and expanding on the timetable at 5c. If you have created a Gantt chart to illustrate when you will deliver the various components of your project, refer to it here.

You will need to set out in detail what activity you will do to monitor and evaluate your project, when it will happen and how it will be resourced. What will be your project costs? Provide a detailed budget for all your training activities, expanding on section 7 in the application form and giving a full breakdown of costs. Ensure the information you give us here is consistent with that which you provide at question 7 in the application form. Provide this information in the form of a spreadsheet. Your second-round submission must not include costs exceeding the total budget agreed at your firstround application, unless you can tell us how you will meet these.

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Appendix 2: Evaluation We will undertake an overall evaluation of the Catalyst umbrella grants initiative which may involve, for example, a visit to your project, or phone call to a sample of your beneficiary organisations. If you are successful in getting a grant, as part of this process we will ask you to contribute to this exercise using your own monitoring and evaluation data, and to report to us on an annual basis (we will contact you to gather this information). We ask that you design your own monitoring and evaluation tools, measuring your success towards achieving the Catalyst umbrella grants outcomes (see Section four: Project outcomes), as well other aims of this initiative stated in Part one: Introduction. Depending on the scale and complexity of your project, you may want to employ somebody to help you with the evaluation. We would encourage you to collect baseline data on the key project measures at the start of the project so that the evaluation tools you use at completion demonstrate the difference that has been achieved with our grant. The quantitative information that we expect you to collect (in order to contribute to our overall evaluation exercise) is below.

1. Activities We want you to tell us how many of the following activities were carried out using your HLF grant. networking events ‘benchmarking’ visits to

other organisations

peer learning seminars or training events case studies produced newsletters sent out (electronically and/or hard copies) events and conferences 2. Capacity building and training/events The number of people and organisations supported through the project, both on a oneto-one basis, and within a group setting. 3. For organisations participating in your capacity building and development programmes, we ask that you collect the following information about them: What part of the heritage sector they look after or engage people with. Please assign one of the following categories to them: historic environment; museums, libraries and archives; industrial, maritime and transport; landscape and natural heritage, intangible heritage (such as the preservation of memories, or oral history projects); or all of the above. What communities they serve, in particular whether they target any specific beneficiary group such as an ethnic group, or people with disabilities. Annual income (a rough estimate is fine). The geographic areas they cover. Please assign one or more of the following categories to them: Wales Northern Ireland Scotland England: East Midlands England: London England: East of England

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Application guidance

England: North east England: North West England: South East England: South West England: West Midlands England: Yorkshire & Humberside 4. Volunteers The number of volunteers involved with the funded project and the number of volunteer hours they contributed. Please also collect demographic information about volunteers, including gender, ethnicity, social class and disability. 5. New staff The number of new staff posts created to carry out your project, and the number of these still being maintained after the end of the project.

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Appendix 3: Writing a partnership agreement In this initiative, partnership applications are welcomed. If delivering your project in partnership with other organisations, you will need to meet all the requirements set out in Part one: Introduction of the guidance notes. Additionally, you will need to submit a signed partnership agreement showing the involvement of each partner and how the project will be managed. You will need to submit this agreement along with your first-round application, and include all the information set out below.

Application guidance

How and when will funding be released to each partner? As a partnership, how will you track progress and identify emerging challenges and successes? How you will communicate, for example, how often will you will meet, where you will meet and who will organise the meetings How will you deal with disputes within your partnership? Are there any limitations arising from the governing documents of each partner? What to include in your partnership agreement: Name of all partner organisations

If your first-round application is successful, you will need to resubmit this partnership agreement along with your second-round submission, incorporating details from the development work you have undertaken. It will need to be signed by all partners involved in the delivery of your project. We will assess your partnership agreement to ensure it covers all the information we need.

Contact details of the nominated lead individual within each organisation, along with position within the organisation

When writing your partnership agreement, you will need to consider how you plan to manage this relationship.

How often partners will meet to review progress

Which other partners, if any, will be involved in delivering the project and what will they do? You will need to think about all of the aspects of delivering your project and who will do the work. Ensure you have considered the following questions:

Project description/title

What role will each partner play? Will all partners play a role in publicising this project? Will this be consistent across the partnership? Which partner will beneficiaries approach to access your services? How will bookings be made and how will you communicate this with other partners? Will all partners be responsible for monitoring and evaluating your project? How will you make this consistent, and who will take responsibility for collating and analysing the information?

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Details of the lead partner, including contact details of the lead individual within this organisation The expertise that each partner will bring to the project Partnership start and end dates

How partners will resolve disputes Project aims and outcomes Activity or service description for each partner How the project will be monitored and evaluated between partners, and how the lead partner will be enabled to provide regular reports to HLF based on this information How the project will be publicised, and how each partner will comply with HLF’s acknowledgement requirements Staff/volunteer time requirements for each partner Activity or service space and

equipment requirements

How information will be shared between partners

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Funding contributions to the project from each partner What will happen if partners need to leave the partnership before the end date of the partnership? (Will there be a notice period?) How will changes to the agreement be made? Signatures of each partner

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Glossary

Activities: We describe anything in your project that isn’t capital work as ‘activities’. Often these will be activities to engage people with heritage. Delivery-grant request: The amount of money you request from us towards your delivery phase. Delivery phase: This is when you carry out your project. Development-grant request: The amount of money you request from us towards your development phase. Development phase: This is when you develop your second-round submission. Direct project costs: All the costs that are directly incurred as a result of your project. First-round application: Your first-round application is when you provide us with detailed information about your development phase and outline information about your delivery phase. This application will include a delivery-grant request and a developmentgrant request if necessary. Full Cost Recovery: Full Cost Recovery enables voluntary sector organisations to recover their organisational overheads, which are shared among their different projects. Lead applicant: If you are applying as a partnership, you will need to nominate a lead applicant who will submit the application on behalf of other organisations in the partnership. If the application is successful, the lead applicant will be bound into the terms of grant and receive grant payments.

December 2012

Non-cash contributions: Non-cash contributions can be included in your partnership funding. These are items or services that you receive without charge, for example a donation of materials from a local firm or the use of a room. We only accept non-cash contributions if they are costs we could pay for with cash. Outcome: An outcome is what your project will achieve and the change – for heritage, people or communities – that will be brought about by our investment. For more information on outcomes, read about the difference we want to make in Part one: Introduction. Output: Outputs are the things that your project will produce, such as a book, a new exhibition, a workshop, or conservation work to a building. Partnership funding: This is how we describe your contribution to your project. It can include cash, non-cash contributions and volunteer time. Project completion: This is the date that we make our final payment and are satisfied that the approved purposes of the grant have been met. Project enquiry form: This form allows you to tell us about your project idea before you apply. It was previously known as a ‘pre-application form’. Second-round submission: Your secondround submission is when you provide us with detailed information about your delivery phase. This application will include your delivery-grant request.

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Catalyst heritage: Building fundraising capacity Umbrella grants from £100,000 to £500,000

Application guidance

Volunteer time: Volunteer time can be included in your partnership funding. This is the time that volunteers give to leading, managing and delivering your project. You should not include costs for the time of people who will take part in your activities. For example, the time of a volunteer who leads some of your capacity building training can be included, but not the time of people taking part in the programme.

December 2012

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