Application guidance Catalyst heritage: Building fundraising capacity

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.
December 2012
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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.
December 2012
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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.
December 2012
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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
December 2012
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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.
December 2012
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.
December 2012
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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.
December 2012
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
December 2012
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.
December 2012
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
December 2012
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.
December 2012
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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.
December 2012
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:
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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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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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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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Application guidance
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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Umbrella grants from £100,000 to £500,000
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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Application guidance
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?
December 2012
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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Application guidance
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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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.
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