2009/2001 Grant Process Timetable and Application Form

BOROUGH OF POOLE

GRANTS PANEL

Tuesday 17th June 2008

2009/2001 GRANT PROCESS TIMETABLE AND APPLICATION FORM

1.Purpose of Report.

1.1The purpose of this report is to request Members’ consideration of the timetable for advertising the 2009/2010 Grant Programme and to agree the Application Form.

2.Recommendations.

2.1 Members are asked to agree the Strategic Priorities for the 2009/2010

Grant Programme as detailed below.

2.2Members are asked to agree the Process and New Application Form for the Grants Programme for 2009/2010.

3.The Strategic Priorities for 2009/2010

3.1The Grants Panel set the Strategic priorities for last years Grants Programme. These were:

Supporting Children and Young people

Promoting Health and well being

Protecting Poole’s Environment

Strengthening our Communities

Developing a Dynamic Economy

3.2The Grants Panel can continue to keep these as their Key Strategic Priorities or select a few priorities as key areas they wish to focus the Grants Panels’ Resources on.

3.3The Grants Panel also have the option to reflect the Local Area Agreements Priorities. These are:

Healthier Communities & Older People

Safer & Stronger Communities

Children & Young People

Enterprise & Economic Development.

4.The Process.

4.1 To open the 2009/2010 Grant Programme via a range of advertising

on 29th August 2008.

4.2To ensure that the Application Forms are sent to previous Applicants as well as ensuring wide spread coverage so new groups can have the opportunity to access the Process. These will include those groups from the Six Equalities Areas in line with the Council’s Equalities Agenda and Corporate Assessment. This is necessary because these groups may not traditionally had access to the Grants Processes because of a lack of relationship /connections and capacity or knowledge within some of these particular communities.

4.3Information, contact details and the Application Form will be made available on the Borough of Poole’s, Local Strategic Partnership’s Websites and Loop 2.

4.4Service Unit Heads and 175 Managers will be informed and the Libraries will be sent the Information Poster for display.

4.5The deadline for applications will be Friday 28th November 2008. This is 12 weeks from launch this is in line with best practice. We would ask that all service units involved in the Grants Process would observe and respect this deadline. Over the last few years’ applications have been received sometimes months after the deadline is closed and this undermines those groups who have observed this deadline and put pressure on the Service Units to try and respond. The deadline is there to end the Process formally and means the Process is open, transparent and adheres to equalities principles, i.e. equal access to all. In other Councils the Application is often taken off website and made clear that no late applications will be received.

5.The Application Form.

5.1 The Application Form has now been used for the last three years in its current state. From experience this does not seem to provide all the information that the Grants Panel need to be able to make a recommendation on whether to fund a group or not. The community Development Team have been researching different types of application forms from some of the best performing Councils in this area of work and are developing a more appropriate form to be used in the 2009/2010 Grant Programme. This will include more robust guidance notes to ensure the Council’s Intentions of what it will and won’t fund and any other relevant information is sent to applicants as appropriate.

5.2A draft model application form for the Grants Panel to see and comment on is attached (Appendix 1).

6. Ensuring the Process follows best practice.

6.1A draft document produced by the Community Safety/Development Manager reflecting best practice from CIPFA for both Grants Panel Members and Officers supporting grant applications have been lodged in both Members Rooms. It is hoped this will provide consistency across Services and has been reviewed by the Audit Services and Legal Services for input, comment and advice. It was also being reviewed by the late Cllr Mrs Hillman in her role as portfolio holder.

6.2It is hoped that the Grants Panel will support the information contained therein and support the rollout across the Council of this document to be held on the Loop as a resource for both elected Members and Officers involved in this process.

Amanda Bombardiere

Housing & Community Services

Simon Hendey

Head of Housing and Community Services

\\Artemis\GenHsg\Community Development\Grant Process\Grants PROCEDURE for the Borough of Poole 2006.doc

Supporting the Voluntary and Community Sector through grant funding in the Borough of Poole

– A Compact in Action.

CONTENTS

APPENDICES

1.1Purpose

The purpose of this document is to provide a comprehensive guide each stage of the Borough of Poole’s grants process. It also gives clarity to Elected Members, Officers and the Voluntary and Community sector (VCS) on processes for either grant funding or entering into a contractual relationship with the Voluntary and Community sector.

1.2The Borough of Poole’s Grants Policy

The Grants Panel at its meeting on 19th July 2005 set the basis of the Council’s Grants Policy following consultation with the Voluntary and Community sector to be as follows,:

(a)To set an annual agenda with specific priorities

(b)Keep membership of the Panel as it is, including only elected members

(c)To set a one off application process at a set time in the financial year

(d)To have a mixture of grants in the programme to cover both pump priming and ongoing funding

(e)To move the timetable of the grants to the Council’s budget setting round

(f)To keep the financial management of grants based in service units budgets

The Council agreed for the annual agenda with specific priorities to be set in line with the Local Area Agreement four key areas which are:

Healthier Communities and Older People

Children and Young people

Safer and Stronger Communities

Enterprise and Economic Development

Other changes included moving the timetable for advertising the annual grants to earlier in the year, giving the voluntary and community sector longer to apply, in line with best practice, and allow service units time to start to identifying the funding needed for the following financial year to support these groups.

Advertising of the annual grants programme has extended to those who might already have applied using new contacts made.

In line with this Policy the Grants Panel agreed for Officers to work on this document to help with clarity the working arrangements between the Borough of Poole and the Voluntary and Community sector.

1.3Introduction / Funding Principles

In the Compact of Good practice produced by the Home Office some basic funding principles were established on which grant giving in Poole can be based. They are;

Focus on Outcomes. The achievement of outcomes should be used as a key indicator of the success of funding.

 Simplicity and Proportionality. Processes should be as simple as possible and in proportion to the amount of money involved.

Consistency and co-ordination. Funders should endeavour to join up or standardize parts of the funding chain to minimise burdens on organisations and ensure a focus on delivery.

Timeliness. Allowing time for planning, decision making and action so that they have real effect.

 Transparency and accountability. Allowing informed decisions about spending priorities to be made and both government and the sector to learn from previous work.

 Discussion and Dialogue. This helps build trust and can identify and overcome problems before they impact on delivery.

 Empathy. Understanding each other’s needs and requirements should help avoid problems and help achieve outcomes. For example: Funders do not always have control over the way that they administer grants eg, EU regulations.

1.4Getting the balance right between accessibility and accountability!

Grant giving can be seen as high risk in the area of public expenditure, risks can be mitigated against, see section 1.9 on page 7. Different officers are interested in different parts of the relationship with grant giving. Officers such as auditors are more interested in the ‘process’[RH1], while community development officers and officers in other units managing the day to day relationship with the voluntary or community sector organisation are interested in the ‘outcomes’ of the relationship.

Some of these and other aspects of what we need to consider when pulling together this document are:

• Accountability requirements.
• Usability by the applicant /grant recipient.
• Value for money (economy, efficiency and effectiveness).
• Need to balance the risks -ensure the system is neither too simplistic (accountability) or too over bureaucratic (inefficiency).
• Planning for longer term funding. In 2003 the HM treasury stated in Guidance to funders that longer term funding arrangements often represent better value for money that one year funding agreements by providing greater financial stability, and by reducing unnecessary wastage of time and effort on applying for funds”.

The local authority as a funder to the VCS need to consider, according to HM Treasury Guidance to Funders 2003:

Proportionality – Controls should be proportional to the level and risk to the funds involved.

Well managed risk taking – taking risks in this area of work is unavoidable, control needs to be varied to ensure the most effective balance of risk.

Attention to Outcomes – Focus on outcomes desired from the funds rather than process, appraisal, evaluation or audit requirements.

1.5Standards of Behaviour – A Code of Conduct for all.

There are various standards of behaviour that govern the way officers and elected members act. These standards do not change when funding and working with the VCS.

There are ethical standards by which we operate, which include;

Maintaining confidence and trust

Observing confidentiality

Taking care not to abuse position for gain

Treating people fairly

Providing impartial advice

Personal integrity.

Other standards are included in the Code of Conduct for Staff and Members covering aspects such as Gifts and Hospitality policies.

The Nolan principles are also another basis of standards for behaviour that governs the relationship between the local authority and VCS. The following describes these standards and their interpretation in relation to funding the VCS.

The Nolan principles.

Selflessness

Take decisions solely in terms of the public interest.

Integrity

Do not place yourself under any financial or other obligation to outside individuals or organisations that might influence you in the performance of official duties. This also includes about peoples perception –even if you think you are acting with integrity check yourself.

Objectivity

Make choices on merit this means in relation to the grants being evidence based.

Accountability and Stewardship

Be accountable for decisions and actions and submit to appropriate scrutiny.

Openness

Be as open as possible about all decisions and actions taken and give reasons for decisions. In relation to grants it is acceptable to be controversial and make difficult decisions but be open about them.

Honesty

Declare private interests relating to public duties and take steps to resolve any conflicts arising. If in doubt do not be party to decisions where a real or perceived conflict of interest may be considered.

Leadership

Promote and support the above principles by leadership and example.

The Nolan Principles in Practice.

What this means in relation to the Grants Process is that officers and Decision makers need to ensure the following:

Maintain a register of interests, these include:[RH2]

Any financial interests

Relevant non financial interests

Family connections where relevant

Actual or perceived interests

Changes to interests registered or new interests.

When to declare interests:

Declare at outset or as soon as reasonably practical

At the grant assessment stage

Decision making stage

Record Declaration.

1.6Supporting the Voluntary and Community sector.

There are two different ways in which the Borough of Poole support the VCS financially. The first approach is to grant fund an organisation or group based on the receipt of an application form and the second approach is to contract with a VCS organisation on either the receipt of an application or by commissioning the service from the VCS. The different approaches mean different processes are needed and a different relationship is formed with the VCS group or organisation. These different relationships will be explored in detail later but firstly Planning a new grant programme will be reviewed.

1.7Planning a Grant Programme

The Borough of Poole have developed what their priorities are locally. These priorities can change annually or perhaps over a longer period. Having particular priorities gives the organisation focus and allows the Grants panel to view what grants it might like to consider in light of these priorities. The following is good practice in planning a new grant programme that can be followed on an annual or tri-annual basis to ensure consistency by the Borough of Poole.

It’s important when planning a new programme that it is adequately planned and managed –this is key to an economic, efficient and effective grant programme.

Establish the need for the programme i.e. the council has prioritised action in a certain neighbourhood or for a particular issue such as disability issues. The programme then focuses on this need to be addressed.

Clearly define the aims and objectives of the programme i.e. the advertising to the VCS should clarify what these are.

Develop options for delivery of the programme i.e. this could be in the form of a one off grant application or a rolling programme –such as the 8 week rolling programme Bournemouth operate.

Consider costs and benefits of each for the options.

Identify and analyse all the risks i.e. review the impact on other groups who might not benefit from the grant programme in a particular year, identify risks associated with a one off grant application.

Select the best option and prepare a plan for delivery of the programme i.e. advertising and receipt of applications, when the decision makers sit to decide which grants are to be recommended to Cabinet.

Also remember to plan to monitor and evaluate the programme i.e. how can we make it better in future years, what worked well, what didn’t work!

Grant programmes canlast longer than a year, so this needs to be considered carefully. If it is likely the council will want the same priorities so perhaps plan for a 2 or 3 year programme.

Be clear on the type of funding i.e. is it for capital /revenue or a mixture of both. This also needs to clarify whether the funding is for strategic/ development /project work/loans. It also needs to be clear on whether the programme will continue to ‘core fund’. This is a big issue for many VCS groups and organisations. Based within the national Compact is a recognition by many funding bodies that core funding is valid, very often councils are often the main, if only source of this type of funding, allowing the VCS to look elsewhere for project or developmental funding.

There needs to be both eligibility and selection criteria, this is dealt with later in the document on page 10 under section 1.11, points 2 and 3.

Consider the targeting of grants – i.e. to areas or groups of people.

Also specify whether partnership or match funding requirements should be built into the programme, this can help ensure organisations are actively considering sustainability and not a total reliance on the councils grants.

Ensure terms and conditions are part of the grant programme, this enables a follow up on the monitoring and evaluation of a grant programme to see if real tangible differences have been made where it matters most!

Be clear on how the grant will be paid.

Liaise with other funders i.e. often applications will show that funding has also been requested from other organisations. There needs to be a dialogue with these to ensure that organisations are not being double funded.

1.8When to consult and Who to consult with.

This is vital to ensure feedback on current programme and development of future ones.

Councils can consult on

The policy underpinning the grant programme –Poole undertook extensive consultation in 2005 on this.

The grant programme itself.

There are a number of issues to consider when doing this:

Be clear about the purpose

Explain where decisions have already been made i.e. what is set in stone and can not be changed, this manages expectations within the VCS.

Give adequate time to respond - best practice says the standard is 12 weeks but 8 weeks can be accepted as a minimum.

Be jargon free in ALL documentation –this is frequently mentioned but often not tested. Ask a group of established contacts to test this BEFORE information is sent en masse to the VCS.