GROWING COMMUNITY ASSETS - ANNEX B BIDDERS RESPONSE - HIE CONSORTIUM
29th May 2006
TABLE OF CONTENTS – ANNEX B BIDDERS RESPONSE
Foreword
1. Method
Statement
2.
Lead-in Phase and Mobilisation Plans
3.
Resources and Resource Plans
4.
Project and Service Management
5.
Communication and Management Reporting
6.
Price, Charges and Payment Profile
7.
Conflict of Interest
8.
Contract Transfer and Exit Strategy
9.
Legal and Contract Related
10.
Assumptions and Customer Obligations
APPENDICES
I.
Description of HIE Consortium Members
II.
Tools and Resources Developed by Consortium
III.
Process Flow Diagram
IV.
Business Plan
V.
Curriculum Vitae of Key Staff
VI.
HIE Network Service Charter
VII. HIE Consortium Pricing Model
GROWING COMMUNITY ASSETS - ANNEX B BIDDERS RESPONSE - HIE CONSORTIUM
29th May 2006
FOREWORD
The HIE Consortium has a unique breadth of skills, experience and geographical
coverage which will enable the realisation of the Big Lottery Fund’s ambitions for
Growing Community Assets. The organisations making up the HIE Consortium have
worked together over the last few months to prepare this proposal. They have agreed
the process, standards and approach set out in the document and share HIE’s
commitment to the quality of the service to be delivered. Our decision to come together
as a Consortium was based on our existing track record of joint projects and fund
management in urban and rural Scotland. This will allow us to open the Growing
Community Assets Programme from the 3rd July 2006 and deliver it to the timescale,
budget and quality standards set out by the Fund. Our proposals combine high levels
of client support and our commitment to high quality service standards within a cost
structure that delivers outstanding value for money.
If the Fund’s desire
to help bring about lasting social change is to be realised, it will
need more than just efficient fund management. The approach adopted by all members
of the HIE Consortium is one of enabling organisations, through effective engagement,
capacity building and encouragement. We share BIG’s belief in the value of
investment in communities, and we believe that real change can be achieved in this
way.
The HIE Consortium will be
outcome driven. We have the resources and staff to
begin work on Growing Community Assets from the 3rd July and ensure that targets
are met. But we offer more than grant administration, and will work with communities to
encourage the development of their assets, bringing an enterprise culture to the sector,
with a focus on achieving the outcomes that will make a long-term difference to
communities.
The focus of our work is on achieving
sustainable communities. We will assist
communities to thrive through consideration of the environment, creation of a
flourishing asset base that will contribute to local economies, and the provision of
accessible services which meet people’s needs. HIE and its partners have been in the
forefront of community development, social enterprise and capacity building for many
years, and the HIE Consortium will use its skills and experience to ensure that
communities can progress through the application stage and award of GCA funds to
the development of successfully managed community owned assets which can be
enjoyed by future generations.
We will aim to change behaviour through developing good practice and sharing of
experience. We are able to bring a wealth of practical experience of working with
community organisations and will work with the Fund to develop networking
opportunities for applicants and awardees, learning events and opportunities for
partnership working. Each member of the Consortium brings with them knowledge of
other funding sources and access to other programmes we currently deliver. This will
strengthen the package of support organisations are able to access and increase the
range of appropriate funding to meet current and future needs.
HIE looks forward to continuing its excellent working relationship with the Big Lottery
Fund and contributing, through the HIE Consortium, to the success of Growing
Community Assets.
Sandy Cumming
Chief Executive, Highlands and Islands Enterprise
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ANNEX B - BIDDERS REQUIRED RESPONSE 1. METHOD
STATEMENT
1.1. SUMMARY
Highlands and Islands Enterprise (HIE) welcomes the opportunity to tender to
deliver the Growing Community Assets programme (GCA) for the Big Lottery
Fund (BIG) in Scotland. After careful negotiation we have brought together a
Scottish-based consortium to help us deliver this programme, building on our
own experience of delivering the
Scottish Land Fund on behalf of BIG and
incorporating existing experience from urban areas.
Results
Over the three years of the programme:
• we will handle up to 3,000 referred Outline Proposal Forms (OPFs), engage
with 650 organisations, develop 1,225 detailed applications, resulting in 800
successful bids for funds
(Section 1)
• our costs will be
£3,920,208 (including contingency) or
7.84% of the funds
available, with well over £46M going towards developing and supporting
organisations
(Section 6 and Appendix VII).
The HIE Consortium Members
We have agreed to work with a small number of established organisations with
a strong track record in engaging with and supporting local communities to
develop community-based assets. This team will enable us to cover the whole
of Scotland from day one (3rd July 2006), the start of the programme. Each
Consortium member will add value through its specialist knowledge of areas,
themes or activities. Consortium members have already collaborated with each
other on a range of projects over a number of years. This is not a Consortium
of convenience for this contract, but rather, a collection of partners already well
experienced in working together, with shared values and significant alignment
of strategic objectives. The members are:
• Highlands and Islands Enterprise (lead member and managing agent)
• Highlands and Islands Community Energy Company (HICEC)
• Scottish Enterprise (SE)
• Social Investment Scotland (SIS)
• Community Enterprise in Strathclyde (CEiS)
• Forth Sector (FS).
The Consortium will have an advisory group comprising of the members
outlined above along with Communities Scotland (CS), the Development Trusts
Association Scotland (DTAS) and Greenspace Scotland (GS). For details of
Consortium members, see
Appendix I.
Our Approach
• We take the view that GCA represents a major opportunity to enable local
communities to develop in a sustainable manner through investment of
funds in an intelligent and focussed way. We anticipate high degrees of
interaction and engagement with clients, using techniques developed by
HIE so successfully for delivery of the Scottish Land Fund and by our
partners as a result of their many years experience working with community
groups in urban areas. We believe that our approach is entirely consistent
and precisely aligned with the stated aims of the GCA programme, and
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represents the best ways of achieving the desired outcomes of GCA while
offering outstanding value for money.
• we will focus ourselves on ensuring that unrealistic expectations are not
raised and that there is a high conversion rate of application to approval
• we will seek to ensure that where possible GCA funds are used to leverage
in loans and other funding sources
• we will build on our experience of working together, and across Scotland, to
create longer-term synergies which will last beyond GCA
• we will deliver a wide range of skills and support, through the Consortium, to
ensure that the transfer of assets to communities secures a sustainable
future. This future will be of social, economic and environmental benefit to
the host community long after GCA support finishes
• we adopt an approach which combines rigorous appraisal of project
proposals with a nurturing style at both the pre- and post-application stage.
We invest considerable staff time in aftercare work with projects which seek
to achieve multiple objectives.
Our Experience and Track Record
HIE has delivered the Scottish Land Fund successfully for BIG since 2001.
All Consortium members share the following:
• solid commitment to the principles of sustainable development
• experience of supporting community management of the local environment
and green spaces, and increasing access to these. We consider the urban
dimension of this work to have a special significance in engaging community
members to work together. This can create lasting impact and act as a
catalyst for community self-reliance
• many years of working in the area of organisational development and asset
development in Scotland
• proven expertise in assisting start-up and development of asset-based
social enterprises and a thorough knowledge and understanding of the
sector (see
Appendix II for tools which the Consortium has developed to
support this). Through a European Regional Development Fund
Programme (ERDF) for example, CEiS provides tailored business
development support for around 70 social economy organisations and
social enterprises a year. In Edinburgh, FS provides support to around 50-
60 social enterprises at any given time, based on a cocktail of funding from
a range of organisations
• expertise in dealing with enterprises ranging from those with multi-million
pound turnovers to small community bodies with volunteers. We have a
sound record of producing results for those organisations
• already dealing collectively with around 250 organisations each year and
are used to the volumes required by the GCA programme
• experience of supporting organisations in every local authority area in
Scotland
• experience of working with each other on successful and sustainable
projects
• experience of delivering grant, investment and loan funds for the Scottish
Executive, the Enterprise Network, EU structural funds and Equal, banks
and financial institutions and local authorities
• a deep understanding of social inclusion, social enterprise and asset-based
community development in Scotland
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A set of case studies involving Consortium members, reflecting each of the
GCA core purposes, is provided in Section 1.5.
Our Added Value
We will bring to GCA:
• a solid track record in rural development
• a solid track record in urban development
• intelligent funding through knowledge of loans and commercial potential as
well as grants
• the ability to develop organisations as well as develop individual projects
• tools and techniques for improving the GCA over the first three years
• the ability to learn from each other and pool resources to improve collective
performance and to innovate
• the capacity to run the service effectively from 3rd July 2006
• outstanding value for money.
1.2. INTRODUCTION TO METHOD STATEMENT
This section describes the method which will be employed by the HIE
Consortium to deliver BIG’s GCA Investment Area. Throughout our Bidders
Response we will refer to the Evaluation Criteria
(EC) as laid out in Annex B of
the Invitation to Tender. Our Response follows the Tender Constructions as
outlined on page 68 of the Invitation to Tender and addresses all the areas
listed in the Scope of Work in Schedule A.
The service includes provision of grants for:
• feasibility studies
• technical support
• development proposals
• land acquisition, development and management
• asset acquisition, development and management.
As requested, the contract services are split into two distinct components:
•
services directly attributable to assisting beneficiaries (AB)
•
services in pursuit of grant management (GM).
HIE and its partners have proven track records in supplying full support to
customers
(EC3) and especially in the area of asset-based development.
(EC4) HIE itself will provide the complete service for all communities in rural
Scotland (defined as communities with no
settlements of over 10,000 inhabitants) as it
does currently through BIG’s Scottish Land
Their professionalism and
Fund. For delivery of the services directly
delivery are first rate … But
attributable to assisting beneficiaries in urban
where CEiS excel is their
communities, HIE will refer applicants to the
knowledge of the sector – this
most appropriate Consortium partner. The
gives folk confidence.
HIE Consortium has developed a
Process
Flow Diagram, see
Appendix III which
Scottish Enterprise
summarises the process required to deliver
Renfrewshire
the service to customers. The stages in the
Flow Diagram should be viewed in conjunction
with the method statement, which is described
in detail below.
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All of the services are described in
Section 1.3 below and each section title is
annotated either
(AB) or
(GM) to acknowledge the distinct split of these
components. The stages referred to within
Section 1.3 are the stages detailed
on the flow chart.
The philosophy behind this bid and the project categorisation, (detailed in
Section 10 below), is that the GCA fund will prioritise its resources, activities
and intervention levels to asset acquisitions and asset developments which are
designed to make the greatest step change in individual geographically
defined communities in urban or rural Scotland. Priority will be given to projects
which seek to achieve positive outcomes for a 'whole community' and this is
reflected in the project categorisations
which we propose in Section 1.3.10.3,
project requirements and anticipated project outcomes.
1.3. SCOPE OF WORK SERVICES
1.3.1. Enquiries Service (Stage 1) (GM). The HIE Consortium acknowledges
that BIG has committed itself to providing a single entry point for all
enquiries to simplify and standardise entry to BIG's funding. BIG should
be the starting point for the vast majority (currently assumed to be 90%,
9000) of the initial enquiries for GCA over three years.
Where initial enquiries are received by the
HIE Consortium, the Consortium will
the whole process... was
provide a comprehensive Enquiries
efficient, intelligent and
Service in line with BIG's processes and
pleasant. We felt like a good
standards to those enquiries. On the basis
and valued customer.
that 10% (1000 over three years) of GCA
enquiries might initially arrive via the
Consortium, the Consortium will:
• operate an Enquiries
Fly Right Dance
Service that can
Company on SIS
respond to written,
electronic and
telephone enquiries from the public, organisations and individuals
• ensure that enquiries can be received within general office opening
hours (Monday to Friday 9-5)
• deliver a high service standard that is courteous, efficient and
effective, providing excellent standards of customer care.
HIE and its Consortium partners have extensive experience of handling
initial enquiries from community groups in support of BIG and other
funding programmes. HIE for example has handled in excess of 800
initial enquiries associated with the Scottish Land Fund alone. CEiS has
been in operation for over 20 years and in that
time has managed a range of funds amongst
this was the first big project we
which have been European sources, the
had been involved in. The help
Lottery, Coalfields Regeneration Fund, local
and encouragement we got
authorities and the Scottish Executive. The
from our first enquiry gave us
enquiries generated in response to this have
confidence to see this through.
been converted to working with between 60–
70 organisations a year. Independent
evaluations over this period have given a high
level of satisfaction from these client
Rothes Council
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organisations and an achievement of targets. SIS has dealt with in the
region of 300 enquiries from potential borrowers and maintains an
‘active’ caseload of around 40 proposals at any given time. It is
assumed that SE will be working closely with another 40 of the larger
social enterprises in the urban area. HICEC currently handles around
200 initial enquiries per year. FS,
through the social enterprise gateway,
Your assistance... was all that
Social Enterprise Edinburgh, has
we could have asked for,
supported organisations applying for
particularly given the very tight
Futurebuilders funding as well as for
timescale that the bid had to
other grant opportunities available
be pulled together.
through CS such as the New Ideas
Fund, Seeing is Believing Fund and
Wider Role. Currently FS are
Loch Katrine
contracted to provide pre-application
Community Trust
support to organisations applying for
Increase 2 funding for sustainable
recycling activity. FS handles around 90 development enquiries per
year.
1.3.2. Enquiries Assessment and Response (GM). Experienced and trained
case officers will be available in all Consortium partner organisations
from the 3rd of July 2006 to receive, service and assess any direct
enquiries. It is acknowledged that eligibility will always be decided by
BIG. To facilitate this,
Outline Proposal Forms (OPFs), which capture
an assessment of initial ideas submitted by potential applicants, will be
completed in response to any direct initial ideas. As detailed in
Section 1.3.1 above the majority of enquiries will first arrive with HIE as OPFs
completed by the BIG central service. HIE will record those and
distribute to an appropriate case officer within the Consortium.
In summary the Consortium will be able to:
• receive a range of initial approved enquiries directed from BIG in the
form of a BIG OPF. It is expected that this might reach 1,000 per
annum. These will be used as a "case commencement" procedure
for engagement and development
• provide customers with immediate feedback on their proposal,
without confirming eligibility, which is BIG’s decision
• make accurate assessments of the eligibility of any enquiries for
support received directly
• provide BIG OPFs to enquirers who have approached the HIE
Consortium directly. These will act as the initial record of project/idea
proposal
• ensure that completed OPFs are returned to BIG immediately when
received, for internal processing prior to commencement of further
support
• provide customers with a follow-up mechanism that is fast, accurate,
helpful and skilled
• meet with potential applicants where appropriate in order to explore
further the ideas and concepts they wish to pursue
• be prepared and able to respond across Scotland.
1.3.3. Feedback to Applicants (GM). The HIE Consortium will ensure that all
decisions to engage or not with project development are fed back to
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clients in a timely, accurate and supportive manner. Those clients with
whom the Consortium is not able to engage will be signposted to
alternative sources of support (see Stage 2 of the Flow Chart).
1.3.4. Pre-application Development Support (Stage 2) (AB). From our
experience, the application stage is very important in project
development. Not only does support at this stage ensure that only
strong cases move
towards formal
They run social enterprises
application, but it also
and have a legitimate
helps build capacity with
role.…..Forth Sector has a
community groups to take
track record.
projects forward. HIE has
a good reputation in pre-
application support.
Evaluation of Forth
HIE will provide general help and advice
Sector programme
to applicants. BIG through its
by Shaw Howarth
communications activities, advice line
Ltd.
and website will also provide general
information about this investment area. The HIE Consortium will seek to
engage with all prospective GCA applicants at the earliest possible
stage in the process. This is likely to be at the point that BIG confirms,
via the OPF process, that a prospective applicant/project is eligible. At
that stage HIE will allocate an appropriate case officer from its
Consortium resources to make contact with the community group and
offer support and guidance. The HIE Consortium already has staff with
skills and experience in this area
(EC6). At present HIE advises about
25 to 30 community groups per year who are seeking to acquire land
and property assets, and has ongoing aftercare relationships with up to
25 of the historic, larger more involved community land initiatives. At an
urban level, as stated earlier, CEiS supports between 60–70
organisations each year, SIS and SE each have an active case load of
about 40 significant projects and FS has about 9.
Consortium members have developed a wide range of tested
quality tools to assist community groups at the pre-application
stage, dealing with legal, financial and business planning
procedures. (
Appendix II)
We were delighted with the
Support activity will include:
help provided in the initial
• meeting potential
stages, without it we would not
applicants to develop
have been successful.
an understanding of
their ideas, this
process is likely to be
supported with use of
Ballantrae Rural
CEiS’s
Enquiry
Initiative Care in
Process and
the Community
Assignment Brief
• guidance on application for
Investing in Ideas grants
• initial assessment and identification of opportunities for further
development
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• structured feedback which identifies reasons for continued support,
or termination, with suitable sign posting to alternative support
and/or funding sources. Drawing on its extensive range of networks,
the Consortium is well placed to ensure that organisations not being
supported through GCA, still have access to relevant alternative
assistance suited to their needs and stage of development
• assisting with
identification of
The application process,
development
although at first daunting, is
packages to scope,
made so much easier by the
structure and assess
assistance received from staff,
the feasibility of ideas
help and advice has always
and with the securing
been given most willingly.
of BIG funding for that
assistance
• advice and assistance
Kells Croft
with community
Steering Group
consultation and
scoping as
appropriate
• assistance to applicants who wish to engage appropriate technical or
professional expertise
• assisting applicants with the review and analysis of their developed
ideas prior to the applications stage
• maintaining a high quality record of enquiries development, and
report as required.
1.3.5. Project Appraisal (AB). Each case officer will maintain a live appraisal
of all proposals being developed under their support and guidance. This
will be used not only to provide BIG with a forecast of future demand but
also to ensure that immature or weak project proposals are not brought
forward to application stage too early. The aim of case officers will be to
coach groups to refine their project proposals to the point at which they
maximise the potential for successful outcomes and present the most
compelling case possible for GCA support. This approach is a feature
of the successful delivery of the Scottish Land Fund for BIG and is
followed by HIE’s Consortium partners in their ongoing community
development activities.
1.3.6. Application Support (Stage 3) (AB). Application packs designed by
BIG and agreed by HIE will be distributed by HIE to any prospective
applicants on request. These materials will also be available in
downloadable electronic format and HIE will identify where these can be
accessed to any interested applicants.
Applicants receiving packs will be informed of the contact details for an
allocated case officer, who will have the responsibility to assist and
coach prospective applicants in completing the GCA application
material. This will include reviewing draft applications and suggesting
amendments or further developments and improvements which would
maximise benefits for communities.
Applicants shall be required to send
completed application forms,
after the iterative drafting process above, to HIE at the GCA office in
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Auchtertyre. Applications must be on paper (either an original
application form or a version printed from a disk or the Internet) with a
signed declaration. This is to confirm that no unauthorised amendments
have been made to the original responses. HIE officers in Auchtertyre
will log the application, provide it with a unique reference number, and
make an electronic copy of the application prior to distributing to the
appropriate case officer within the Consortium. Case officers will agree
in writing with the applicant any recommended changes to the
application form. Applications will not be accepted on disk, via the
Internet, by email, or by fax without a signed hard copy of the
declaration. These are signed with the application form. Applicants will
be asked to keep a copy for themselves.
An application will consist of:
• completed application form
• if applicable, original recent bank statement (maximum 3 months
old). It is recognised that newly constituted organisations may only
be able to provide evidence that a bank account has been opened
• documentation to validate the organisation’s authenticity. This will
generally be the constitution, Memorandum and Articles or other
governing instrument. Such documents should be certified
• most recent accounts (or projections of income and expenditure for
the first year for new organisations). Accounts must be the latest set
of published accounts
• all necessary signatures.
Drawing on the live appraisal record and the
application material, case officers will
The process of applying to SIS is
compile a two sided
Initial Assessment
invaluable… the work of making
Report for discussion with BIG officers in
and strengthening the business
Glasgow. This will be in a standard
case is done in dialogue and it
condensed format agreed with BIG. The
means that you have all the
discussions with BIG officers will conclude
information and confidence you
with any recommendations or advice to
need to go ahead.
applicants which could enhance the
application prior to its formal appraisal and
presentation to the GCA Committee.
Out of the Blue
HIE is proposing that the allocated case
officer will provide both pre-application
development support and application assessment. This approach is
in line with continuity of community and project development support
successfully pioneered and provided to groups which accessed the
Scottish Land Fund over the last five years.
This has proven a very
efficient and effective model for getting to a draft paper presenting an
applicant’s case.
Draft Initial Assessment Reports will be peer reviewed
by senior HIE Consortium staff. This step will ensure quality control and
consistency. No paper will be submitted to BIG without being checked
and countersigned as part of a managerial upward review within the
consortium.
The HIE Consortium will maintain full and complete records of
engagement with all applicants from OPF receipt through to project
completion. HIE will utilise its electronic document storage system
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(EDRMS) with hard copy of signed documents held in a paper file, as it
has for the Scottish Land Fund provision (described more fully in
Sections 1.3.11 and 1.3.12). Access to review remotely the relevant
sections of the EDRMS system will become available to BIG as HIE
further develop its systems. HIE’s partners will maintain a mixture of
paper and electronic files for all projects which they provide the case
officer service for. HIE will ensure that there is commonality of content
and quality of information held in all case files throughout the
Consortium.
1.3.7. Application Assessment (Stage 4) (GM). HIE and all of its
Consortium partners have extensive experience of assessing
applications for financial assistance and presenting assessment reports
for committee decision
(EC2, 6), including applications for lottery
funding. HIE will receive all applications through its Auchtertyre office
and record and electronically scan those prior to distribution to the
appropriate case officer within the Consortium.
Cases will be appraised against the agreed BIG GCA criteria and will
include an assessment of:
• the process of building up an asset-base in order to achieve longer
term sustainable development
objectives
We were very satisfied with the
•
most efficient way our
social benefits, level of
application was dealt with.
community support and cultural
values
• economic benefits through
increasing employment or skills
development opportunities
Strachur & District
• contribution to sustainable
Comm. Dev.
environmental management,
Company Ltd
local heritage and their
interpretation
• financial feasibility and longer
term viability
• issues of additionality and displacement
• a risk assessment
• State Aids implications.
All applications for GCA funding will be processed as appropriate and in
line with the details of the contract. In pursuance of this the HIE
Consortium will:
• ensure that all submitted applications are logged and recorded
appropriately
• ensure that all BIG data processing requirements are completed
• prepare an assessment report on every submission in line with
guidelines and categories set by BIG
• present assessment reports to BIG officers for consideration of
presentation to the GCA Committee. These to be supported by any
supplementary information necessary for a robust decision.
Ultimately, it will be for BIG officers to determine whether an
application is ready for submission to the GCA Committee
• BIG will be responsible for servicing and running the GCA
Committee including issuing of all papers and recording of activity
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and HIE will co-operate with all BIG requirements in ensuring that
this process is robust and effective.
Assessment Reporting
The HIE Consortium will ensure that all applications for funding have an
Assessment Report in a form acceptable to BIG for presentation to the
GCA Committee. Whilst acknowledging that BIG retains the precedence
right for all applications in relation to format, content and presentation,
the HIE Consortium will seek to work with BIG to agree a concise paper
format which strikes an acceptable balance between the information
required for sound GCA Committee decision making and a volume of
detail which does not overload Committee members, bearing in mind the
volume of papers which the Committee is predicted to be handling.
Draft Assessment Reports will be peer reviewed by senior HIE
Consortium staff. This step will ensure quality control and
consistency. No paper will be submitted to BIG without being
checked and countersigned as part of a managerial upward review
within the HIE Consortium. All reports will be subject to review
and agreement by BIG staff prior to submission to the GCA
Committee.
The HIE Consortium will:
• provide initial assessment reports on applications for funding to BIG
well in advance of any Committee meeting
• the HIE Consortium will prepare Assessment Reports in a format
approved by BIG
• provide such supplementary information as is required for sound
judgement by BIG. This could include maps, images and
professional reports as well as documents
• respond to questions from BIG in relation to all application
submissions prior to Committee meetings in a prompt and effective
manner
• provide professional opinion in relation to all applications against
previously set criteria and codings provided by BIG.
1.3.8. Committee Decision and Applicant Feedback (Stage 5) (AB). We
understand that the GCA Committee will meet every two months.
Decisions taken will be passed immediately to the case officer. In order
to ensure that all application decisions are fed back to applicants in a
timeous, accurate and supportive manner, the appropriate HIE
Consortium officer will:
• assist applicant organisations to review their options where a
decision not to fund has been given and offer signposting to
alternative sources of support and funding
• assist applicant organisations through the project delivery stage
where a positive decision has been given.
And where further pre-application work is required:
• provide information and advice to organisations seeking to develop
their ideas elsewhere
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• provide further support and
CLU staff have accumulated a
assistance to organisations
wealth of experience……..
that wish to review and
associated with community asset
amend their proposals for re-
purchase. Throughout, realistic
submission to GCA
advice and support is given to
• report and record as required
ensure business plans and
ensuring that high quality
proposals take account of these
data is held against all
responsibilities.
application activity.
1.3.9. Project Management (Stage 6)
The Assynt
(GM). Consortium members will
Foundation.
send out formal letters of offer,
legal agreements, etc, and will
draft standard security documents for BIG. Case officers will also
project manage the payment claim process based on milestone
achievements (further outlines in
Section 4).
1.3.10. Post-Application Development Support (Stage 7) (AB). We believe
that post-acquisition support is vital to long term sustainability of
community-led projects, and is an essential component in BIG’s
aspiration for an investment culture. HIE has considerable experience
in this field.
(EC3)
1.3.10.1. Principles.
It is proposed that the post-acquisition development
support afforded to applicants is based upon the following
operational principles:
• facilitating and enabling community initiatives to become
financially and organisationally sustainable
• developing capacity of community groups and community
directors
• helping community initiatives to maximise environmental,
cultural and local heritage benefits
• developing and agreeing of an exit strategy for Consortium
member involvement with each community initiative
• maximising opportunities for dissemination of knowledge and
experience between
communities
We are happier now there is an
• commitment to an
aftercare officer in place.
ambition to provide
support to the whole
community asset
sector Scotland-
wide
Laggan Forest
Trust Forestry Co.
• monitoring and
Ltd
evaluation to be
equally beneficial to
both the community
and the funders.
1.3.10.2. Post-Acquisition Support: Projected Demand. We have had
to make a series of assumptions on the demand of GCA funding,
both the numbers and types of project. We have based the likely
number of applications on the Pre-Qualification Questionnaire:
13
GROWING COMMUNITY ASSETS - ANNEX B BIDDERS RESPONSE - HIE CONSORTIUM
29th May 2006
• 800 successful grants offered
• 300 development packages agreed
• 20 large scale applications with GCA funding of around £1m.
HIE’s experience of administering the Scottish Land Fund
indicates that the 300 grants it has awarded were distributed to
150 different groups. Of these groups, 20% were of large and
significant scale and warranted receiving a full aftercare service.
Given that technical assistance and project development grants
will be dealt with by the
Investing in Ideas fund, it is likely that
there will be fewer numbers of grants to the same organisations.
It can thus be envisaged that the number of community initiatives
that will require post-acquisition development
support will be:
The process being market
• a total of
focused, efficient in testing ideas
approximately 650
at an early stage and ‘weeding
separate groups
out’ unsustainable ideas quickly
supported through
whilst suggesting new directions
GCA funding of
was appreciated.
which:
20 will be large
scale
Evaluation of Forth
applications with
Sector programme
GCA funding of
by Shaw Howarth
around £1m,
Ltd.
and
a further 140 will
still be significant
scale projects.
1.3.10.3. Post-Acquisition Support: Types of Cases. Clearly there will
be a wide range of projects seeking funding. Given the GCA
objectives, we suggest the following categorisation of project
types (for further discussion of assumptions, see
Section 10):
Category 1a
Large-scale projects which meet all of the top three GCA
"purposes". Initiatives tackling full community regeneration (e.g.
the purchase and management of an estate or the construction
of a multi-functional community centre which also has offices,
business units to lease out etc).
Category 1b
Significant-scale projects which meet all of the top three GCA
"purposes" but are looking to access less than £1m from the
GCA.
Category 2
Medium-scale projects which meet one of the top three GCA
"purposes" and one other. These provide benefit for the whole
community but are single-faceted, e.g., a community owned
shop.
Category 3
Small-scale projects which meet at least one of the GCA
"purposes". These are single-faceted and benefit a specific
14
GROWING COMMUNITY ASSETS - ANNEX B BIDDERS RESPONSE - HIE CONSORTIUM
29th May 2006
sector of a community, e.g., the purchase of a building for a
drugs rehab project.
Combining figures offered by BIG at the pre-tender stage, and
our own assumptions on numbers and types of project, we
outline a breakdown of demand in the table below:
Table 1.1: Number, Type and Size of Application
average
No. of
Anticipated
Applications
Category
GCA
Approvals
Total (£)
Groups
no. of Dev’t
developed
award
engaged
grants
1a
1,000,000 25
20
20,000,000
20 20
1b
250,000 50
40
10,000,000
80 60
2
100,000 150
100
10,000,000
150 100
3
15,625 1,000
640
10,000,000
400 120
Totals
1,225
800
50,000,000
650 300
1.3.10.4. Stratification of Aftercare Support. Given the number of
expected awards under the GCA and the amount of staff time
required to provide a full aftercare service, it will not be possible
to provide all successful applicants with a full level of post-
acquisition development support.
It will therefore be necessary
to prioritise the resources available according to the
categorisation of the projects so that the more significant
projects receive a proportionately greater level of aftercare
support from Consortium members. However, it is important
to stress that a basic level of post-acquisition support will be
made available to all successful applicants under the GCA.
The level of aftercare support that each group will require / be
able to access will depend on:
• the scope of the group’s objectives and aspirations (groups
which aim to meet a full range of activities sustainability will
receive more support than groups which have a narrower /
single interest focus)
• the complexity of the
The trust directors … were very
community-owned
pleased to acknowledge the
asset
level of expertise available and
• the size of the GCA
grateful for the degree of
grant awarded
continuing interest and
• the existing capacity
assistance offered by staff.
of the group.
1.3.10.5. Post-Acquisition
North Harris Trust
Development Support –
Services Available. The
HIE Consortium partners,
through appointed staff as well as by utilising their existing
expertise and staff
(EC6 and EC10) will provide a range of post-
acquisition development support services to enable the
sustainable development of applicant organisations as well as
ensuring adequate monitoring, evaluation and risk minimisation
elements. Services will include:
15
GROWING COMMUNITY ASSETS - ANNEX B BIDDERS RESPONSE - HIE CONSORTIUM
29th May 2006
• Consortium support (depending on scale of application):
allocation of specified Consortium staff to provide
support and mentoring
telephone / email support
administration of development funding applications
periodic attendance at directors meetings for large
projects
potential for an appointed director for large scale
projects. This would normally be an external
appointment
with specific
I didn’t know what to do when I
expertise
first came to Glasgow with no
agreement of an
training. Now I am part-time in a
exit strategy for
nursery in Langside. It has been
Consortium
a great experience for me.
organisation
involvement.
• Organisational
sustainability:
Childcare Works
agreement of an
trainee - from Sri
exit strategy for
Lanka.
HIE Consortium
organisation
involvement
setting up a strategy and procedures for initiatives
that are experiencing difficulties.
•
Skills development – ensuring initiatives have the
skills necessary to sustainably manage their assets:
training needs analysis
directors training
access to comprehensive skills development / training
programme
access to networking and sectoral support (see below).
• Post-acquisition development planning:
business planning
access to specialist advice (through Consortium
members or external organisations such as the
Community Woodlands Association).
• Access to GCA revenue funding for:
animateurs (short-term paid posts, focussing on
specific project outputs)
Development Officers (3 - 5 year paid post to raise
the capacity of community initiatives to develop
projects and manage sustainably the assets that they
have acquired
ongoing annual revenue costs (insurance, accounts,
auditing).
•
Access to GCA capital development funding
• Setting up a strategy and procedures for initiatives that
are experiencing difficulties
• Monitoring and evaluation framework
monitoring of grants awarded and progress towards
the objectives set out in application through a concise
“Progress Report”
16
GROWING COMMUNITY ASSETS - ANNEX B BIDDERS RESPONSE - HIE CONSORTIUM
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an annual “health check” for each community initiative
baseline study for larger projects
evaluation of larger projects at five yearly intervals.
1.3.10.6. Sector Support. In addition to providing an aftercare service to
individual initiatives, it is important that the Consortium is able to
support the growth and development of the sector as a whole.
This will be achieved by:
• carrying out an annual sectoral review
• support for networking between communities (through events
and infrastructure)
• identifying and disseminating best practice and the
encouragement of learning
• facilitating the transfer of experience and knowledge between
community initiatives and promoting collaboration by:
encouraging exchange visits between initiatives
establishment of a mentoring project where experienced
initiatives provide support and advice to similar, newer
projects
setting up a “twinning project” where rural initiatives are
twinned with urban projects
holding an annual sector conference.
Table 1.2 below shows the proposed post-acquisition
development support for each category and has been
constructed based on considerable experience in this field
(EC4):
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GROWING COMMUNITY ASSETS - ANNEX B BIDDERS RESPONSE - HIE CONSORTIUM
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Table 1.2: Proposed Post-Acquisition Development Support Services
Support
Type of Support
Category of Initiative
Heading
1a 1b
2
3
Allocation of
Yes
Yes
No (but access to No (but access to
dedicated aftercare
pooled support
pooled support
officer from
resource)
resource)
Consortium
Attendance at
Yes (most)
Yes (some)
Occasional
No
directors meetings
Telephone / e-mail
Yes Yes
Yes
Yes
are Support
support
Funding for
Optional
Optional
No
No
Afterc
appointed director
Training Needs
Yes
Yes
Yes
Yes
Analysis
t
Directors Training
Mandatory
Mandatory
Available on
Available on
request
request
lopmen
Access to skills
Yes
Yes
Some
Limited
e
development funding
Skills
Dev
Business Planning
Yes
Yes
Limited
Limited
t
ess
lopmen
e
Dev
& Busin
Planning
Advice
Specialist Advice
Yes
Yes
Limited
Limited
Community
Yes
Yes
Yes
Limited
Animateur
nue
e
Development Officer
Yes
Yes
No
No
Rev
Funding
Revenue Costs
Yes
Yes
Limited
Limited
Capital (normal max)
Yes - up to
Yes - up to
Yes - up to
Yes - up to
t
£1million
£500,000
£100,000 - 50%
£50,000 - 50% of
50% of
50% of
of total project
total project costs
l
project
project costs
costs
a
lopmen
e
costs
Capit
Dev
Funding
Grantee completes
Yes Yes
Yes
Yes
Progress Report
Annual Health Check
Yes
Yes
Yes
Yes
Baseline Study
Yes
Yes
Optional
No
Monitoring &
Evaluation
5 year Review
Yes
Yes
Optional
No
Attending events
Yes
Yes
Yes
Yes
Exchange Visits
Yes
Yes
Yes
Yes
Mentoring support
Yes
Yes
Yes
Yes
Twinning
Yes
Yes
Yes
Yes
and
Annual sector
To be carried out through HIE Consortium
g
conferences
al Support
Annual sectoral
To be carried out by HIE Consortium
review
Dissemination of best
To be carried out by HIE Consortium
Networkin
Sector
practice
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GROWING COMMUNITY ASSETS - ANNEX B BIDDERS RESPONSE - HIE CONSORTIUM
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1.3.10.7. Accessing Post-Acquisition Development Support. Most of
the post-acquisition development support required by applicants
(activities identified in the above table in the shaded grey boxes)
will be accessed directly by the community groups themselves
instructing / contracting the required services. This will be
facilitated by the HIE Consortium identifying potential service
providers e.g. suitable training organisations. Funding for this will
be provided through applications to the GCA. Community groups
applying to acquire an asset will be encouraged to include the
immediate post-acquisition development support required by
them. This will:
• streamline and therefore
Through CEiS' work on the
maximise the efficiency of
Social Economy Growth
the application processes
Programme, local community
• ensure that the post-
organisations have benefited
acquisition framework is
from a focus on sustainable
in place prior to the asset
development.
being acquired thus
ensuring that
development can take
place immediately once
North Ayrshire
the asset is purchased
Council
• provide comfort to
applicants that the requisite support is in place before
acquisition takes place
• allow elements of post-acquisition development support to be
put in the control of community groups.
Thus at the same time as applying for funding to acquire a
large asset, a community could also apply for funding for an
aftercare support package to include revenue funding for a
development officer, directors training, a skills development
programme and specialist advice.
In addition to the post-acquisition development support accessed
by the applicant community groups themselves, as part of the
GCA contract a range of additional support will also be provided
directly by the HIE Consortium (identified in the
Proposed Post-
Acquisition Development Support Services table in the non-
shaded boxes). This includes providing direct HIE Consortium
aftercare staff support to applicant groups, providing sectoral
support, maintaining a sectoral overview and the maintenance of
a monitoring and evaluation framework. (
Section 1.3.33)
1.3.10.8. Management of post-acquisition development support.
Post-acquisition development support services will be provided
through HIE Consortium project officers as well as by dedicated
aftercare staff. This will be done by the different member
organisations of the HIE Consortium depending on the
geographical location of the applicant organisation and whether it
is a rural or urban project. The HIE Consortium will ensure that
there is consistency of approach and service throughout
19
GROWING COMMUNITY ASSETS - ANNEX B BIDDERS RESPONSE - HIE CONSORTIUM
29th May 2006
Scotland, between urban and rural projects, and within project
categories.
1.3.10.9. Existing aftercare provision. Applicant organisations will be
able to access a range of further support and funding
opportunities through activities already being carried out by the
HIE Consortium.
(EC6 and EC10) This includes access to
aftercare support and funding for post-acquisition capital and
revenue development currently provided by HIE’s Community
Land Unit (CLU).
As this existing additional support is
already being provided by the members of HIE Consortium
and will continue irrespective of who is awarded the GCA
contract it does not form part of this tender. In promoting a
joined up approach, care will be taken to avoid duplication of the
work of other service providers such as the CVS Networks and
local authorities which also provide appropriate support.
1.3.10.10. State Aids. HIE Consortium members and future applicants
should be aware that State Aids regulations have a significant
impact upon the ability to provide development funding for any
trading activity carried out by community initiatives.
1.3.11. Recording and Reporting (AB). HIE, as lead partner, will maintain
systems which record all relevant data and will be responsible for
reporting to BIG. HIE has proven capability in this area and has
complied fully and successfully with BIG’s Scottish Land Fund recording
and reporting requirements, including maintenance of BIG’s Data
Collection Application (DCA).
(EC2,6,9 and 10)
More specifically HIE will co-ordinate all data collection as follows:
• utilisation of its Electronic Document and Records Management
System (EDRMS) for electronic storage of documents
• utilisation of its Project Control System (PCS) for project
management and reporting. This allows tracking of allocation to
Consortium case officers and key events such as interim appraisal
reporting, application receipt, application assessment and BIG
decisions
• in late 2006, HIE’s PCS and EDRMS systems will migrate into a new
Network Management System (NMS) with enhanced co-ordination
and reporting capabilities
• feed into BIG’s Merlin data system.
A business plan for the life of the contract has been prepared and is
found in
Appendix IV.
1.3.12. Data Capture and Processing (AB). HIE’s PCS, EDMRS and NMS
systems will be used for the storage and retrieval of information on all
applications thus enabling accurate and timely reporting of progress and
activity. These systems will be supplemented by excel spreadsheets
which will capture other data electronically, within the agreed
parameters of collectable data for GCA which are not catered for by
PCS/NMS.
20
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The HIE Consortium will maintain full records and files in relation to all
activity in a mixture of electronic and paper format, however, these could
be converted to completely paper files at BIG’s request and be
inspected by BIG at any time. The HIE Consortium will maintain client
confidentiality at all times and agrees not to disclose any information to
any third party without the prior consent of BIG, subject to proper
compliance with Freedom of Information (FOI) legislation.
1.3.13. Potential Application Review (AB). This is described in
Sections
1.3.4 to 1.3.7 above.
1.3.14. Professional and Technical Expertise (AB). The HIE Consortium has
a unique range of proven community
I have run with Forth Sector
development, technical and
because they are unusual in
professional capabilities within its
having good business
core operations, with experience in
development skills and a
both rural and urban contexts, which
detailed knowledge of the social
is detailed in
Section 3.
(EC1,4,6,10)
economy.
1.3.15.
Strategic Promotion and
Developing the Field (AB). The
HIE Consortium acknowledges
Evaluation of Forth
that BIG will maintain primacy in
Sector programme
matters of media and political
by Shaw Howarth
communications with regard to GCA
Ltd.
and will comply with BIG policy in
these matters. The HIE Consortium
will offer full support to BIG to allow it
to maintain excellent
media communications and
public relations for
GCA, including in any preparation of materials for dissemination of
information for GCA, requested by BIG. The HIE Consortium will
achieve this through the HIE internal Communications team, currently
staffed by 6 experienced officers who have relevant experience of
working with BIG, using a mutually agreed protocol, in delivery of the
Scottish Land Fund.
(EC6,7,10)
Building on this experience, the HIE Consortium will:
• work with the BIG Communications team to
promote the GCA
Investment area to the general public, media and other interested
parties including, where appropriate, area or sector specific
promotion
• retain the existing HIE/BIG protocol for all
media relations and
general enquiries
• ensure that the all media and
marketing materials, letters, press
releases, leaflets or publications produced with regard to GCA
include the BIG logo
• support projects to ensure they have appropriate
branding that
acknowledges BIG and conforms to BIG’s branding and design
guidelines.
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1.3.16. Governance Function (AB). The HIE Network has in place procedures
which ensure that high standards of
corporate governance are
maintained at all times.
• HIE operates robust procedures for
The Scottish Land Fund grant
the systematic identification and
has made this project into reality.
management of
risk.
The application takes a lot of
Quarterly assessments are made
volunteer time but we
of risk by management and the
understand the need to be
assessment of risk at individual
accountable.
project level. Where appropriate,
action plans are put in place to
address significant risks
Auchencairn
• HIE has an
audit committee
Initiative
composed of four non-executive
members of the board, one of
whom acts as its chairman and is externally audited by Audit
Scotland
• HIE operates strict and comprehensive procedures to deal with
potential
conflicts of interest. These include the maintenance of
registers of interest, which are updated at least annually. Registers
are available for inspection by members of the public.
All Consortium members have similar governance procedures and HIE
will ensure that they comply with HIE standards.
1.3.17. Complaints System (AB). The HIE Consortium response is detailed in
Section 4.
1.3.18. Practice Monitoring (AB). The HIE Consortium will develop and
maintain effective systems for the monitoring of its own activity which
are described in
Section 4.
1.3.19. Evaluation and Practice (AB). Sections 1.3.10 and 1.3.33 includes
details of how the Consortium will monitor the impact of BIG assistance
to projects. HIE will also evaluate the Consortium’s own programme
through surveys of its customers and external evaluations. HIE has
experience of this through a recent evaluation of its CLU by Segal
Quince Wicksteed.
All Consortium members are committed to evaluation, learning from
experience and disseminating that learning. The Consortium will co-
operate closely with BIG to undertake any wider external evaluation of
the GCA programme. HIE has already done this in an evaluation of the
Scottish Land Fund.
(EC7, 9, 10)
1.3.20. Reporting (AB). HIE, as the Consortium lead, will report to BIG on a
regular basis. All reporting will be channelled through BIG's GCA
Contract Manager, based in Glasgow, who is recognised as the main
contact for the GCA work.
• HIE will meet quarterly (3 monthly) with BIG to report on progress
with GCA and its own activities in support of GCA
• HIE will meet annually with BIG to review and audit the contract and
activity
22
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29th May 2006
• HIE will report on spend (as sanctioned by officers), geographic
distribution of funds, type of activity and progress made on a monthly
basis
• HIE will report on planned activity and projected developments to
ensure that BIG understands the short, medium and long-term
issues and objectives being pursued. These will be agreed with
BIG's GCA Contract Manager prior to implementation
• the HIE Consortium will give any access to all records associated
with delivery of the contract to BIG (or its agents) as required.
HIE has had a satisfactory relationship with BIG on this basis for the last
5 years.
(EC 7, 10)
1.3.21. Communication and Accountability (AB). HIE will maintain excellent
communications with BIG at all times ensuring that BIG is well informed,
aware of issues and central to decision making in relation to progress.
The HIE Consortium Contract Manager will be John Watt, (Director,
Strengthening Communities Group) who will carry prime responsibility
for the GCA contract and will be the Accountable Officer in relation to
BIG and BIG's requirements for the GCA Contract.
The HIE Consortium Service Manager will be Andrew Anderson (Head
of CLU) who will carry prime responsibility for the delivery and
implementation of services funded under GCA and will be the
Accountable Officer for Service Implementation and Delivery. The
Service Manager will be accountable to the Contract Manager within the
Consortium's operations.
1.3.22. Distribution of Application Materials to Customers (GM). It is
understood that BIG are preparing a set of application materials, aligned
with national BIG guidelines, that includes application forms, guidance
notes, general advice material and PR products. The HIE Consortium
shall review these and offer suggestions for any improvements which
will be agreed with BIG prior to any use or distribution.
The HIE Consortium will identify and guide applicants to a BIG provided
electronic option via the internet which enables information
dissemination and the downloading of application materials.
HIE will distribute application materials, on behalf of the Consortium, in a
prompt and efficient manner and will ensure that all eligible applicants
are well supplied. This will enable central tracking and reporting of
distribution of application materials.
1.3.23. Recording and Reporting (GM). HIE will report to BIG on a regular
basis as detailed in
Sections 1.3.11, 1.3.12, 1.3.20 and Section 5.
1.3.24. Data Capture and Processing (GM). As outlined in
Section 1.3.11,
systems in place include HIE's PCS, EDRMS, Financial Accounting
System and NMS.
Back-up documentation for correspondence and financials
are
maintained on an electronic document system (EDRMS), also used in
the delivery of the Scottish Land Fund, using scanned images. In
23
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29th May 2006
addition, all original source documents are maintained in HIE's registry
archive and retained for a period of years according to their retention
and destruction schedules.
HIE operates under policies which comply with Data Protection and
Freedom of Information legislation.
HIE will collect and correlate the salient data required to populate the
BIG Merlin Data system as the key data recording and reporting system
for the project. HIE will work with BIG to establish the most efficient
method of data transfer into the Merlin system, within the security
constraints of that system. It is acknowledged that during the life of
GCA, this interface may develop to enable data to be fully transferable
between HIE's and BIG's systems. HIE will fully co-operate with any
such future development.
1.3.25. Presentation of Applications (GM). HIE has worked closely and
successfully with BIG and the Scottish Land Fund Committee for 5
years, in presenting cases, attending meetings and conveying decisions
to applicants. The HIE Consortium will provide well briefed officers to
introduce and present every application under consideration by the GCA
Committee. For complex and larger projects the case officer will be
available to introduce, and present and respond knowledgably to
queries from the Committee. The Consortium will also arrange study
visits by the Committee or its members, to the location of key projects.
1.3.26. Recommendations for Funding Support (GM). The HIE Consortium
will establish effective systems for the implementation of GCA
Committee decisions. The HIE Consortium will:
• report decisions to applicants promptly, accurately and with due
regard to the reputation of BIG
• respect press embargo deadlines
• make formal contractual offers for grant to successful applicants
• receive signed acceptances of grant and grant conditions prior to the
release of funds
• undertake due diligence prior to the release of any funds to
applicants to ensure that the applicant is compliant with all
necessary legal and policy directives, conditions of grant and that
the project can proceed effectively
• ensure that all co-finance from other sources is secured and agreed
prior to the release of any BIG funds to an applicant
• maintain effective systems in support of this
• report against progress on a regular basis to BIG GCA Contract
Manager
• take steps to clawback funds where necessary and agreed with BIG.
1.3.27. Fund Management (GM). Standard rules and practice are operated by
HIE
including
terms and conditions to all offers of grant
assistance made by HIE to successful applicants for its own funding.
HIE operates integrated
project management and grant payment
systems. Turnaround times for grant claims are measured in days and
regularly reported to HIE's Management Group. HIE observes the
Government's 'Better Payment Practice Code' by being committed to
paying within one month of receipt of a valid invoice where no other
24
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29th May 2006
contract timetable applies. HIE maintains clear banking arrangements
and records. However, separate banking arrangements
may be
negotiated where there is a clear business case.
It is however acknowledged that BIG will facilitate the grant fund
management service through its Merlin system. HIE, on behalf of all
Consortium partners, will advise when payments are due and
approvable and will facilitate the necessary data steps to enable BIG to
make payments.
HIE will ensure:
• that BIG can make grant payments to projects accurately and on
time
• that BIG can make payments to the HIE Consortium for its services
through sound invoicing
• maintenance of appropriate banking arrangements that allow clear
audit trails and inspection from BIG
• issue all grant offers in the form of a contract on behalf of BIG
• issue conditions of grant and ensure these are complied with
• maintenance of all appropriate records related to this activity
• report on payments due and approvable and fund issues
• maintenance of accounts in a manner that allows specific accounting
for this contract
• that any interest generated through the holding of funds by HIE,
relating to payment for the services, will be the property of BIG and
will be fully returned to BIG at the closure of the contract.
1.3.28.
Risk Assessment (GM). HIE has a rigorous risk assessment
methodology for funding applications.
(EC 2) The HIE Consortium will
assess and report on risk in relation to all applications in line with BIG
policies and procedures. HIE Consortium case officers will:
• assess and report on the risks associated to every application for
funds including delivery, impact, threats and reputational impact on
BIG
• the HIE Consortium will maintain a risk register in relation to its own
and funded activity.
1.3.29. Governance Function (GM). All parts of the HIE Consortium will
maintain sound governance at all times, as outlined in
Section 1.3.16.
1.3.30. Asset Register (GM). The HIE Consortium will maintain an effective
and fully compliant asset register of GCA investments at all times.
1.3.31. Grant Management (GM). The HIE Consortium will undertake a range
of duties on on-going grant management in response to changing
circumstances and in pursuit of robust fund management. The HIE
Consortium will:
• assist BIG to make payments to projects against a payment
schedule as specified at contract in response to grant claims made
• make alterations, amendments and adjustments to payment
schedules in response to information received from grant holders
• respond to requests to alter or amend grants or their terms and
conditions and, after consultation with BIG GCA Contract Manager,
agree and set revisions to grants with grant holders
25
GROWING COMMUNITY ASSETS - ANNEX B BIDDERS RESPONSE - HIE CONSORTIUM
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• respond to questions, difficulties or requests for changes to grants
from grant holders and after consultation with BIG GCA Contract
Manager, agree grant or project modifications with grant holders
• monitor project progress and performance and maintain accurate
records in relation to this and provide that in a suitable format thus
ensuring that BIG's Merlin data system is accurate and up to date
• report on project performance to BIG and where under-performance
is identified, coach applicants in the preparation of corrective plans
for improvement
• ensure that all organisational detail is up to date and that any
material changes to organisations or projects are recorded and
amended as appropriate
• ensure that all grant holders comply with terms and conditions of
grant, legal obligations and good practice in project management
and delivery.
1.3.32.
Evaluation Reporting to BIG (GM). The HIE consortium
acknowledges that BIG wants to be an intelligent funder and that in
order to accomplish that, BIG needs to analyse its activity and respond
to emerging issues, to learn and to grow. In support of this the HIE
Consortium will co-operate with and support all BIG evaluation
processes in relation to GCA grants and grant holders.
1.3.33. Monitoring of Awards (GM). The HIE consortium believes that in
principle, monitoring and evaluation systems should be designed to
have equal benefit to award recipient and funder, and suggests that a
combination of concise award-based monitoring (a self-certified return
completed by the client to give feedback on each award), and a
separate entity-based report (the client completes a similarly concise
self-certified report on the overall status/health of the organisation).
For each report completed by the client there will be a separate,
immediate and corresponding assessment by a HIE Consortium
member. Feedback from recipients Scottish Land Fund grants suggests
a degree of unhappiness with the extent of
information required in progress reports and
The summary of delegates rated
the
HIE Consortium will suggest (in
a unanimous 'excellent'
consultation with BIG) the adoption of very
response for the visit. I believe a
concise reporting with the additional
lot of that is down to your very
flexibility to allow full completion and
efficient organisation and the
submission or reports electronically
complete openness of your staff.
through an e-mail dialogue.
All very impressive! We all
thoroughly enjoyed our visit to
The Award based monitoring will be achieved
Forth Sector. Thank you for
through asking three or four pertinent
hosting us.
questions only, e.g.
• what was achieved with the
specific grant aid? (what
has been learned/
Evaluation of Forth
accomplished?)
Sector programme
by Shaw Howarth
• have any challenges or
Ltd.
significant issues been
identified?
• what happens next with the
26
GROWING COMMUNITY ASSETS - ANNEX B BIDDERS RESPONSE - HIE CONSORTIUM
29th May 2006
project?
• feedback on workings of the GCA fund.
The entity-based monitoring will evaluate the health and progress of the
community group as a whole. Substantial Cat 1A, Cat 1B and some Cat
2 projects will also undertake a full baseline study and formal five year
reviews. The table below identifies the key components of the proposed
monitoring and evaluation framework, subject to discussion and
agreement with BIG.
On an annual basis it is suggested that the lessons learned be
aggregated into a formal
sector health check report done in parallel
with HIE’s CLU who will also gather information from community land
trusts not participating in the GCA award programme.
Table 1.3: Award-Based Monitoring
Award Based
Client Return
HIE Consortium input
Reporting
Award Type
Monitoring Requirements (self
Award health check (One
certified 2 page progress report
page checklist/report
completed by client)
completed by relevant HIE
Consortium Project Officer)
Technical Assistance
1 off at project completion, normally
Checklist (one off on
within 12 months of the award
completion)
Acquisition of CAT 1A
1, 3 & 10 years after acquisition
Checklist (one for each client
& 1B
report)
Acquisition of CAT 2 &
1 & 3 years after acquisition
Checklist (one for each client
CAT 3
report)
Development -
Annual for duration of funding
Annual checklist for duration of
Revenue funding for
funding
staff personnel
Development - Capital
1 off at project completion (within 3
Checklist (one off on
months of end of project)
completion)
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Table 1.4: Entity-Based Monitoring
Entity Based
Client Completion
HIE Consortium input
Reporting
Health Check (simple
2 page report - all Categories (1A,
Once a year assessment of
recording of key health
1B, 2 & 3) + submission of annual
all health checks and
attributes of
accounts
production of sector health
community group -
check report (will require
finances, membership,
independent assessment of
activity, achievements,
finances)
challenges etc.)
Baseline Study
Category 1A, 1B optional for Cat 2
Baseline check -
(benchmarking
(not for Cat 3)
confirmation that it has
community on a range
been completed to a
of key pertinent local
satisfactory and consistent
and national indicators
standard
with a view to
subsequently looking
at progress over 5 - 10
years)
5 Year Review (formal
Category 1A, 1B optional for Cat 2
5 Year Review check -
review of status and
(not for Cat 3)
confirmation that it has
progress of entity
been completed to a
including comparison
satisfactory and consistent
with original baseline -
standard
includes community
self evaluation and
external evaluation
input)
In addition to these formal written reports there will also be a substantial
degree of aggregated feedback available from HIE Consortium staff who
will be in regular contact with each community body in receipt of a GCA
funding award.
At the expiry or sooner termination of this agreement BIG will assume
responsibility for post-completion compliance checks and asset
monitoring.
Monitoring will be undertaken by the HIE Consortium to ensure that the
grants have been used according to the agreed contract, to record the
benefits achieved, and check that they are those specified in the
contract, to check value for money and to record any exceptional
circumstances regarding the grant.
1.4. CASE STUDIES
The following set of case studies illustrates projects which Consortium
members have been involved, sometimes in co-operation:
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Case Study: Local regeneration and creation of sustainable livelihoods
Project: Reversing decline on Gigha Today, Gigha is thriving. Back in 2001 the island was in serious decline. The population
had fallen below 100. Critically, the school roll was down from 34 to just six. After the
buyout, the islanders learned that, of the 41 houses owned by the Isle of Gigha Trust,
all but one were below tolerable standard. A quarter were in serious disrepair. Since
the buyout, the population has risen by more than 20 per cent and the school roll has
doubled. The first small businesses to open in a decade are up and running, with more
set to follow and a refurbishment programme is tackling decades of under-investment
in housing.
Gigha Renewable Energy Limited a trading subsidiary of the Isle of Gigha Heritage
Trust, established the UK’s first grid-connected local community-owned wind farm in
December 2004. This landmark project meets all of Gigha’s electricity needs, exporting
the surplus to the mainland, and will provide an annual net income to the community of
around £80,000. The project won the inaugural Ernst & Young/Euromoney renewable
energy award for best community-based project. The financial model for the project
was based around a combination of grant funding, loan finance and equity.
Partners: The Scottish Land Fund, HIE Community Land Unit, Argyll and Islands
Enterprise, Social Investment Scotland, Highlands & Islands Community Energy
Company, Argyll & Bute Council, Fyne Homes.
Case Study: Local regeneration and creation of sustainable livelihoods
Project: North Ayrshire Community Employment Initiative / North Ayrshire Social
Economy Growth Programme The Community Employment Initiative (CEI) is an area-based employment and
community regeneration initiative. It is based on a community engagement process
delivered by local animators who connect with economically inactive people, their
families and their networks to support them on the journey into mainstream
employment. The animators have themselves been out of the labour market and are
local people who know the areas they work in and the issues the communities face.
CEI is built on partnership and does not duplicate existing services but builds a referral
network, tailored to the needs of the individuals it works with.
In its work, the CEI also identifies gaps in the provision of essential services many of
which are not automatically associated with employability. Services such as childcare,
credit unions and community halls often underpin the sustainability of moving people in
to work. Through the North Ayrshire Social Economy Growth Programme, CEiS is
working with a local community-based housing association to build an infrastructure of
support to these other community based organisations and provide the specialist
assistance they require to grow and develop.
Partners: Community Enterprise in Strathclyde, North Ayrshire Council, North
Ayrshire Community Planning Partnership, Communities Scotland, Strathclyde
European Partnership, Cunninghame Housing Association.
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Case Study: Improving the appearance, safety, accessibility, and biodiversity
value of community environments and green spaces
Project: Abriachan Forest Trust
The story of Abriachan forest, on the side of the Great Glen between Inverness and
Drumnadrochit, is the story of what can be achieved through voluntary effort and self-
motivation when people work together and are given the right support.
In 1992 community councillors learned that tracts of the nearby forest were likely to be
sold, sparking fears for local access rights. Six years later, 540 acres of Abriachan
forest became the largest community-owned forest in Scotland, run by a trust set up by
local people. Thousands of walkers now enjoy trails through a forest that until recently
offered little access and few reasons to visit. In the forest, foreign species of pine and
spruce are slowly giving way to Scots pine and native broadleaf trees. Sightings are up
of black grouse, snipe, red kites and ospreys. The forest now has nearly 10 miles of
roads, footpaths and tracks, three wildlife ponds, rain shelters, a tree house meeting
place for young people, picnic tables and two new car parks. There is a wildlife
research area, a children's play area, a peat path to fitness. Counters recorded 32,000
walkers in the two years to October 2004: roughly equal to half the population of
Inverness dropping by.
The forest provides work for local contractors, including four full-time and three part-
time jobs for local people. The Trust and its educational offshoot, called Outreach, work
with schools, students and the community at large. In just two years their dizzying array
of workshops, presentations and walks has attracted nearly 5,000 participants. Income
is generated from forestry and other sources to cover wages and overhead costs.
Plans to expend the level of income generation are being developed.
Partners: The Scottish Land Fund, HIE Community Land Unit, Scottish Natural
Heritage, Forestry Commission Scotland.
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Case Study: Improving the appearance, safety, accessibility, and biodiversity
value of community environments and green spaces
Project: Beardmore Park, Parkhead, Glasgow
This one hectare area of vacant land, nominated as one of the worst local eyesores in
the 2001 East End Eyesores report, is in a prominent location at Parkhead. It is
overlooked by social housing newly refurbished with a budget over £8million - none of
which was spent on the adjacent open space.
The key to the long term sustainability of the site was seen as the early (and ongoing)
involvement of the local community. They have been involved from the outset via
consultations and fun days to build a design around their ideas and aspirations. Local
primary schools visited the site during the consultation and will be involved at the
planting stage. Each school will also be invited to join the ‘Friends of’ group.
In December 2005 work was complete – creating Glasgow’s first urban park for 20
years. It now provides a safe play area, has improved the environmental amenity, has
created training opportunities for local people and has engaged representatives from all
sectors of the community.
Kelvin Clyde Greenspace provided vital support to community partners to widen the
extent of community engagement. Technical support and funding advice was given.
KCG worked with social services to develop a training component for people with
learning difficulties during the construction phase and provided support to the ‘friends
of’ group to develop an events programme and contribute to achieving sustainable
community management.
Partners: Kelvin Clyde Greenspace, Glasgow City Council.
Case study: Providing essential community services and increasing access
Project: SPACE Castlerock Housing Association purchased a derelict school in Craigmillar, Edinburgh,
with a view to demolishing it to build houses and a small office complex on the site. The
school dining hall contained a mural painted by John Maxwell in 1929 and the listed
status of the building prevented its demolition.
Forth Sector worked with Castlerock Housing Association on re-development plans for
the school. This aimed to shape any development in line with the regeneration plans for
the area. The initial work involved engaging with the local community to gain there
views on potential development needs, engaging with the key strategic partners
(Craigmillar Joint Venture company and the Craigmillar /Partnership) and market
research. The consultation identified a lack of community facilities, a community fear
that ‘everything was going to be swept away’ in the regeneration, the need for more
than just housing in any redevelopment and a need for office accommodation for social
enterprises.
The decision was made following this process to redevelop the primary school as a
Social Enterprise Centre and Community Arts Centre. This would offer market-rate
office accommodation alongside the opportunity for existing community arts groups to
relocate into the building and develop improved community facilities.
Partners: Forth Sector, Castlerock Housing Association
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Case Study: Community-based approaches to the production, consumption and
celebration of healthy, sustainable food
Project: Arrochar and Tarbert Community Development Trust Pit Stop Diner Arrochar and Tarbert Development Trust purchased The Pit Stop Diner, an established
retail catering outlet in Arrochar. The Diner provides a source of income for the Trust
to cross-subsidise their charitable activities whilst at the same time helping to
contribute towards the funding of a much-needed community meeting place.
The Diner aims to:
• Promote healthy diet and provide healthy eating information.
• Create employment and retain income in the local economy.
• Improve access to healthy eating for locals without private transport.
• Provide year round lifeline service when road access is ill advised or impossible.
• Alleviate isolation by providing a community meeting place.
• Provide a local outlet for local produce.
• Create a training facility for young chefs and waiting staff.
Partners: Social Investment Scotland, Scottish Land Fund, Scottish Enterprise
Dunbartonshire
Case Study: Community-based approaches to renewable energy, sustainable
buildings and sustainable resource use
Project: Ardfern Village Hall A plan to improve the heating in the village hall originally intended the installation of a
gas boiler. With the assistance of the Highlands and Islands Community Energy
Company, an alternative design using a ground source heat pump was developed. By
effectively transferring the heat energy in the ground underneath the car park into the
building, the heat pump will use a quarter of the energy required to heat the building as
the original gas boiler.
Rated output – 22kW
Estimated fuel savings - £1284 per annum
Estimated CO2 savings - 3.1 tons per annum
Partner: Highlands and Islands Community Energy Company
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Case Study: Enabling better access to local services and environments
through cycling, walking and sustainable motorised transport.
Project: JobShuttle The JobShuttle in North Lanarkshire is the first of its kind in Scotland, and features a
travel planning service for those keen to work or access training but without the
means of getting from A to B.
It provides travel details to parents on how best to attend their work, further education
or training. The JobShuttle works by utilising a journey enquiry system and local
knowledge to advise clients on the quickest and easiest route to work by public
transport and a team of drivers to help transport where there is no suitable route. As
well as the JobShuttle fleet of 3 mini-buses there is a development fund to assist
individuals with alternative transport options such as cycling.
The next stage of the project is to develop a community transport initiative which will
house the JobShuttle and build on the demand it has generated for a sustainable
local transport infrastructure.
Partners: Community Enterprise in Strathclyde, Monklands Association of
Voluntary Services, Blantyre Volunteer Group, Community Transport Association,
JobCentre Plus, Strathclyde Passenger Transport, Working for Families Fund, North
Lanarkshire Council – Smartways.
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2. LEAD-IN PHASE AND MOBILISATION PLANS
The HIE Consortium will mobilise existing staff in its partner organisations from the
time of award of contract to undertake initial training. Most of these staff will come
from the HIE’s CLU, and partner organisations will also make members of staff with
appropriate skills available to the Consortium.
This will allow a core of
experienced staff members with a good knowledge of GCA procedures and
clients’ requirements to be established at a very early date.
(EC 10)
The HIE Consortium has the resources and experience to provide all the services
required for provision of the full range of services to a limited number of
organisations from commencement of delivery of GCA in July 2006. The 3-week
induction period will be sufficient for key HIE Consortium staff to gain a sound
grasp of GCA eligibility and processes. HIE’s CLU staff and those of our partners
are already supporting communities who are likely to be early applicants.
These key staff will be mentors for further staff from partner organisations, and new
recruits, during the lead-in phase. Formal project management and appraisal
training, modelled on training provided for HIE staff, will also be used.
Our mobilisation plan to meet the outcomes required to meet the timescales
specified is divided into four phases (refer also to Flow Diagram in
Appendix III
and the Business Plan in
Appendix IV).
Phase 1: Responding to enquiries
a) Following the timescale provided by BIG, the HIE Consortium will be
open for formal business on
3rd July. At this point we will be able to
receive telephone and written enquiries, including OPFs passed to us
from BIG, make initial records and respond to the enquiries
b) after
17th July, we will be able to meet with and engage with initial
organisational enquiries at their locales to explore further their requests
for assistance under GCA. This service is to be fully operational by
14th
Aug.
Phase 2: Pre-application development support
Starting
31st July, staff will be able to visit applicants and provide some
support, with full level of service available by
1st Sept. This service will
include assisting organisations to apply for
Investing in Ideas funding
from BIG.
Phase 3: Application support
Professional support and assessment functions will be available to
organisations by
1st Aug. We will be able to issue, respond to and
assess GCA applications for funding, including
Investing in Ideas. The
service will be fully operational by
1st Oct. Maximum turnaround will be
4 months. The HIE Consortium will be able to provide interim
emergency support and development assistance to a small number of
organisations from
3rd July.
Phase 4: Post-acquisition support
Full service is to be available from
1st October 2006, with limited
engagement before that. For clarity, we have presented the resources
and skills required to meet these targets in tabular form.
34
GROWING COMMUNITY ASSETS - ANNEX B BIDDERS RESPONSE - HIE CONSORTIUM
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Table 2.1: Phase 1a
Target date
Receive telephone and written enquiries
Key
3rd July 2006 including OPFs from BIG, make initial records performance
and respond to the enquiries
indicator
Resources Skills
2 staff
Training in initial enquiry handling, OPF handling, 200
(admin)
dealing with general questions about GCA and enquiries
Investing in Ideas.
successfully
recorded by
01/09/06
0800
telephone no
Office
base
Equip additional office at Auchtertyre (already
reserved)
Signposting
Staff in partner organisations able to re-direct
staff in
enquiries to Auchtertyre
partner
organisations
Table 2.2: Phase 1b
Target date
Able to meet with and engage with initial Key
17th July – organisational enquiries at their locales to performance
14th Aug
explore further their requests for assistance indicator
under GCA
Resources Skills
Staff in
Knowledge of project development, capacity building 180
partner
and in-depth knowledge of GCA
Enquiries
organisations
followed up
trained to this
by 01/09/06
level
Establish
Commence recruitment of additional admin staff and
second office
case officers
at
Auchtertyre
Signposting
Staff in partner organisations able to re-direct
staff in
enquiries to Auchtertyre
partner
organisations Admin staff developing greater knowledge of GCA
35
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Table 2.3: Phase 2
Target date
Staff will be able to visit applicants and provide Key
31st July – 1st some support, with full level of service available performance
Sept
by 31st Sept. This service will include assisting indicator
organisations to apply for Investing in Ideas
funding from BIG
Resources Skills
10 staff will Knowledge of project development, capacity building 10 trained
have been
and in-depth knowledge of GCA
staff by
provided with
01/09/06
structured
HIE Consortium staff dedicated to GCA delivery will
training in
be fully conversant with its operation and delivery
HIE and
partner
Detailed training in project appraisal compliant with
organisations, GCA criteria, will be undertaken
and BIG
Glasgow
office
Full admin
Trained in Merlin system and GCA administrative 2 staff
team in place procedures
undergoing
training
Table 2.4: Phase 3
Target date
Professional support and assessment functions Key
1st Aug – 1st are to be available to organisations by 1st Aug. performance
Oct
Able to issue, respond to and assess GCA indicator
applications for funding, including Investing in
Ideas funding. The service must be fully
operational by 1st Oct
Resources Skills
Additional
Knowledge of project development, capacity building Full
staff provided and in-depth knowledge of GCA
complement
with
of staff
structured
HIE Consortium staff dedicated to GCA delivery will trained by 1st
training in
be fully conversant with its operation and delivery
Oct
HIE and
partner
Detailed training in project appraisal will be
organisations, undertaken
and BIG
Glasgow
office
Partner
Expertise in renewable energy schemes
organisations
with specialist Financial engineering
knowledge
Fully conversant in GCA processes
Full admin
Trained in Merlin system
team in place
Full understanding of claim processing procedures
Full understanding of legal offers and legal
undertakings
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Table 2.5: Phase 4 post-acquisition support
Target date
Full service is to be available from 1st Oct 2006, Key
1st Oct
with limited engagement before that
performance
indicator
Resources Skills
HIE Aftercare 4 years’ experience in supporting asset-based
team of 3 community development projects in rural areas
officers
Provision of support to GCA projects in lead-in phase
Fully conversant with GCA processes
Our Aftercare Team will be able to provide support
and appraisal of development projects
Partner
Experience in support to urban projects
organisation
staff
Provision of support to GCA projects in lead-in phase
committed
Fully conversant with GCA processes
Additional
Capacity building, project development, appraisal
Full provision
staff recruited
for PADS in
and
Expertise in renewable energy schemes
place by 1st
structured
Oct 06
training
Financial engineering
provided in
HIE and
partner
organisations,
and BIG
Glasgow
office
Sub-
Fully conversant in GCA in areas relevant to their own
contactors
expertise and with capacity to deliver service
engaged by
community
groups
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3. RESOURCES AND RESOURCE PLANS
The HIE Consortium has a unique range of proven community development,
technical and professional capabilities within its core operations, with experience in
both rural and urban contexts.
(EC1, 4, 6, 10) Where these do not meet the full
range of competencies required to facilitate GCA effectively, they will be developed
or secured from external technical and professional service providers as and when
required.
The following skills and competences are already held within the HIE Consortium
partners’ core operations
(EC6, 10):
• community development in both the urban and rural environments
• sustainable development and environmental management
• business planning
• accountancy
• marketing
• financial planning
• legal
• project planning and implementation
• funding application assessment
• Freedom of Information (FOI) expertise
• internal audit
• knowledge of European state aids policy
• monitoring and evaluation.
The HIE Consortium is likely to source externally, legal advice relating to the
conveyance of large or complex offers and the taking of securities relating to
awards.
HIE’s experience is that there are considerable capacity-building benefits from
assisting applicants themselves to develop briefs for technical or professional
assistance to develop competent proposals. Officers will assist the applicant with
the review of proposals for those services and the selection and engagement of
appropriate advisors once funding for those liabilities has been secured through
successful, officer supported, applications to BIG. Such advice could include:
• valuation and survey advice
• share valuation
• business planning support
• community consultation support
• feasibility studies
• legal services associated with asset transfer to the applicant.
The HIE Consortium will ensure that it complies with all legal requirements in
pursuit of the contract and its business.
3.1. RESOURCES TO BE ALLOCATED TO THE CONTRACT
Staff resources from each Consortium member are given in Table 3.1 over:
Personal information has been redacted
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Table 3.1: Staff allocated to the Contract
HIE staff
Name
Current job title
Role in GCA project
Time
%
Contract
Manager
5
Service
70
Manager
HIE
Consortium
Board Member
Project
100
Manager
Rural
50
Aftercare
Manager
Rural Team
50
Lead
Land Adviser
100
Land Adviser
50
Land Adviser
50
Land Adviser
50
Land Adviser
50
Land Adviser
100
Land Adviser
100
Aftercare
50
Officer
Aftercare
50
Officer
Administrator 60
Administrator 40
Administrator 100
GCA
helpline
100
and case
assistants
Specialist
in
20
environmental,
tourism and
heritage
interpretation
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Highlands & Islands Community Energy Company
Name
Current job title
Role in GCA project
Time
%
Leader of renewable
30
energy advice
HIE Consortium Board
Member
Manager of renewable
30
energy advice
Renewable
Energy
30
Adviser
Renewable
Energy
30
Adviser
Renewable
Energy
30
Adviser
Renewable
energy
100
advice (South Area)
Community
Energy
30
Officer
Scottish Enterprise
Name
Current job title
Role in GCA project
Time
%
Manager of SEN
10
participation.
HIE Consortium Board
Member
Community Enterprise in Strathclyde
Name
Current job title
Role in GCA project
Time
%
Manager of CEiS
15
participation.
HIE Consortium Board
Member
Urban assets adviser
40
Urban assets adviser
40
Urban assets adviser
40
Social
Enterprise
62
Adviser
Urban assets adviser
45
Environment/Sustainabi
100
lity Adviser
40
GROWING COMMUNITY ASSETS - ANNEX B BIDDERS RESPONSE - HIE CONSORTIUM
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Forth Sector staff
Name
Current job title
Role in GCA project
Time
%
Manager of Forth
20
Sector participation
HIE Consortium Board
Member
Social
Enterprise
40
Adviser
Social
Enterprise
40
Adviser
Social
Enterprise
40
Adviser
Social
Enterprise
40
Adviser
Social
Enterprise
30
Adviser
Urban
Aftercare
100
Manager
Social Investment Scotland staff
Name
Current job title
Role in GCA project
Time
%
HIE Consortium Board
25
Member
Community Loans &
25
Investment adviser
Community Loans &
25
Investment adviser
The HIE Consortium will be managed by the Service Manager, who will liaise
directly with BIG. Working with the Service Manager will be the Project
Manager and Aftercare Managers, who will have overall responsibility for quality
and consistency of all delivery of pre-acquisition support, application processing
and post-acquisition development support to be provided by the HIE
Consortium. Each HIE Consortium partner will have its own team with flexibility
to cope with changing demand, and a team leader who will liaise with the
Project Manager in HIE.
In summary, there will be a
total staff resource of 34.1 full time equivalents
of which
24.9 will be paid from the GCA programme. There will be flexibility
in the duties performed by the Consortium members, but we have attempted to
break down the headcount by function, in
Table 3.2.
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Table 3.2: Summary Headcount
Case
Mgt. &
Total
% of
HIE and SE
Overall
% of
volume
Admin
BIG
total
contribution
total
overall
derived
charged
BIG
total
charged
Case
development
15.6
15.6
62.7
8.2
23.8
69.8
Case
development
4.0
4.0
16.1
4.0
11.7
assistance
Management
3.0
3.0
12.0
1.0
4.0
11.7
Administration
2.3
2.3
9.2
2.3
6.7
Total
19.6
5.3
24.9
100.0
9.2
34.1
100.0
3.2. CAPACITY TO MEET THE FUNDS FLEXING NEEDS
In
Section 3.1 we have outlined the substantial staffing resources currently
available to the contract from within the Consortium.
(EC6, EC 10) Although
not all of the named staff will be working on the contract full time, this
demonstrates capacity to respond to urgent needs. The HIE Consortium
partners have within their organisations staff with a wide range of specialisms
including business development, community development, environmental
schemes, skills development and many others relevant to GCA. In addition,
we will have an approved list of contractors available for technical assistance
and capacity building projects. The CLU has found that it is a valuable part of
development of communities’ confidence and capacity to enable them to
engage their own consultants, and proposes to continue the practice of funding
community groups to employ their own consultants, with HIE Consortium
support. The DTAS, CS and GS are advisers who bring expert knowledge of
community development, housing and regeneration and environmental projects
to the HIE Consortium.
3.3. ROLES AND RESPONSIBILITIES
See
Section 3.2.
3.4. KEY PERSONNEL Table 3.1 shows the anticipated proportion of work time to be spent be each staff
member on GCA deliver, and their locations within the HIE Consortium. Key
personnel, are those listed as members of the Consortium Board.
3.5. As above
3.6. CURRENT STAFF TURNOVER RATIO
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Table 3.3: Staff Turnover
HIE (current complement 555)
Total %
Voluntary %
Involuntary %
2004/05 15.45
11.21
4.24
2003/04 19.73
9.95
9.78
2002/03 14.45
8.7
5.75
Staff turnover for the Community Land Unit (current complement 12)
Total %
Voluntary %
Involuntary %
2004/05 8.3
8.3
0
2003/04 8.3
8.3
0
2002/03 8.3
8.3
0
HIE has, for the second year running, qualified as one of the top 100 employers
in the UK in the Sunday Times list. The list sets a benchmark for research into
employee satisfaction in the UK. Measures to promote retention of staff include
non-salary benefits such as gym membership, flexible working, personal
development opportunities and the employment of a full-time professional
occupational health adviser.
Staff allocated to the Service will be replaced by simultaneous internal and
external advertising.
3.7. HR POLICIES
HIE has the following formal policies in place and is fully compliant with EU and
UK employment law and health and safety regulations:
• equal opportunities
• maternity
• adoptive parents
• grievance
• special leave
• flexible working
• smoking
• business travel
• sickness absence
• whistleblowing
• secondment
• wellbeing
• paternity
• use of IT
• parental leave
• alcohol and drugs
Our commitment to
Equal Opportunities includes:
• the promotion of equality of opportunity in employment
• the development, implementation, regular monitoring and review of
employment policies with the aim to ensure that people receive fair and
consistent treatment (i.e. recruitment, selection, training, promotion)
• positive action to encourage under-represented groups
• a continuing programme of action to make the policy and its
implementation fully effective, including training and guidance
• the elimination of direct and indirect discrimination of any kind, including
harassment and victimisation
• the development of mechanisms for resolving grievances about unfair
discrimination, harassment and victimisation
• the introduction of an in-house listening service and offer of outside
counselling where appropriate
• the annual review of our Equal Opportunities Policy.
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Finally, HIE has agreed
codes of practice on the following:
• Recruitment and Selection
• Training and Development
• Equal Pay
• Harassment
• The Role of Line Managers
• Complaints
• Discipline
• Monitoring of the Policy.
We confirm that all members of the HIE Consortium have equally robust HR
policies, fully compliant with legislation.
3.8. TRAINING AND DEVELOPMENT
HIE and its Consortium partners already have key staff, including Land
Advisers and Administrators within the CLU, who are experienced in assisting
communities with projects involving the purchase of assets, and post-
acquisition project development. Our colleagues in SE, CEiS, FS and SIS are
actively involved in development of community enterprises and community-
owned assets.
(EC 2, 3, 4) We feel that we are uniquely placed to deliver
the service in a very short timescale (EC 5, 10) and our submission in
Section 2 explains in some detail how we use this experience to best
advantage by a process of mentoring and peer review.
Training and development will concentrate initially in ensuring that key
personnel are fully conversant of the requirements of GCA, and are able to
give accurate advice to clients. These staff will be equipped to work on project
development with community groups, and provide initial assessments and
project appraisals.
The Consortium will run all training and development in conjunction with
Consortium partners to transfer knowledge gained from working with the rural
and urban sectors, and to ensure consistency of delivery. HIE staff have all
undergone training in project appraisal, project management and financial
management. By running further training and development together with our
Consortium partners we will ensure that all staff receive at least the equivalent
level of training. (See also Business Plan in
Appendix IV)
3.9. CVS
CVs are attached in
Appendix V.
3.10. KEY CONTACTS
Personal information redacted
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3.11. MONITORING OF STAFF DEPLOYMENT
Team Leaders will be appointed in each organisation. They will be
responsible for monitoring and recording activity related to the Fund. This will
be required in order to reimburse Partners’ costs, and will be closely recorded
by HIE as part of its audit process.
3.12. ABILITY TO RESPOND TO THE FUND
The HIE Consortium will have sufficient flexibility within its structure to cope
with most short-term requirements, with the possibility of secondments from
within partners’ organisations. Should there be a need for recruitment of staff,
a period of 3 months notice will be required.
3.13. URGENT REQUESTS
HIE and its partners are accustomed to responding immediately to urgent
needs of clients, Parliamentary Questions, changes in legislation and many
other events. There are resources within HIE to handle most urgent
requirements of the fund, and our partners are also organisations with the
experience and capacity to react quickly.
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4. PROJECT AND SERVICE MANAGEMENT
4.1. MANAGEMENT OF PROJECTS
HIE is a leading Scottish agency with over 500 employees that annually
awards over 2,000 grants and financial packages to a range of organisations
throughout the Highlands and Islands. We have in operation effective and
robust systems to ensure payments are made accurately, on time and with a
clear audit trail. As outlined in
Section 1.3.11, in a move to further increase
the effectiveness of our administration we are introducing a purpose built, state
of the art integrated electronic Network Management System (NMS) that will be
operational from late 2006. NMS will integrate current web-based recording
systems such as our Client Information Database, Project Control System, and
Payment Forms System to create
an integrated client management system.
Client information will be entered into this integrated system at the point of
initial enquiry (referral from BIG of an approved OPF) and updated as the
project develops to enable accurate and timely monitoring and reporting of
progress and activity. The system will be used to monitor and record key dates
within the project cycle including:
• receipt of OPF from BIG
• receipt of application
• date of funding decision
• date issue of contractual offers to successful applicants
• date of receipt of signed acceptance of offer
• notification of compliance with any pre-payment conditions of funding
• date of asset purchase
• key milestones used for monitoring on-going progress
• key targets in delivery of post-acquisition development support.
The NMS will record financial information and enable reporting on the grant
activity of applicants, including:
• total grant approved
• target dates for grant drawdown
• actual dates for grant drawdown
• balance of grant to be claimed.
It will act as a client management system at case officer and managerial level
and enable accurate reports on project progress to be generated at all times.
Appropriate reports on progress and current situation will be delivered to BIG at
quarterly meetings.
With the aid of this state of the art system, HIE will undertake a range of
regular duties on on-going grant management and be flexible in response to
changing circumstances and in pursuit of robust fund management. This is
detailed in
Section 1.3.27 and 1.3.31.
A unique file will be opened and maintained for every enquiry (OPF) and
application received.
CEiS has developed an “Assignment Brief” which will be established with each
client group we work with (see
Appendix II). This will set out the context for the
request for assistance, key outcomes and outputs, record decisions made at
client meetings, note the key tasks and target dates and assign actions to both
parties - ourselves and service providers and the client group. It will be initiated
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at the first meeting and progressively developed through the period of on-going
contact with the client and both parties will retain a copy. The log will act as an
informal contract setting out the roles and responsibilities of each party. The
case officer will be responsible for updating and monitoring the log through the
period of contact until the point of sign-off at completion of post-acquisition
development support.
Staff will use appropriate means of communicating with clients primarily e-mail,
phone and, for more formal communications, letter.
In line with current HIE policy that enables us to fulfil effectively current FOI
obligations, we will maintain full electronic records in relation to all activity.
Paper records of key documents will be retained and all documentation will be
made available to BIG in paper format on request. Our normal policy of
maintaining client confidentiality will be in force at all times and no information
will be passed to a third party without the prior consent of BIG except where
there is a legal requirement to do so.
Section 1.3.33 outlines in detail, the proposed monitoring system. This will
give comprehensive information on the management of the grant award and a
measure of outcomes achieved. This will also assist with future evaluations of
the programme.
4.2. OBSERVANCE OF POLICY AND CODES OF PRACTICE
HIE and all personnel involved will provide the Service with reasonable care
and skill to a professional standard, observing the policy and codes of practice,
including conduct, set down by BIG. The HIE Consortium will comply with all
BIG policies and policy developments during the life of the contract. The HIE
Consortium will comply with all relevant legislation in force during the contract.
HIE will monitor the quality of the Service provided both internally and in
conjunction with BIG as appropriate.
4.3. KEY PERFORMANCE INDICATORS AND SERVICE LEVELS
4.3.1. HIE’s Network Services Charter obligations will be adhered to in the
delivery of the Service by HIE and
its partners (a copy of which is
It has been a joy to work with
given in
Appendix VI). Of most
CEiS. They haven’t just met our
note this states:
targets – they are exceeding
• all letters, e-mails and faxes will
them.
be responded to within 7
working days
• all telephone, voicemail or
answer-phone messages will
Scottish Enterprise
be returned by the end of the
Renfrewshire
next working day, unless
informed otherwise
• acknowledging all funding
applications within 5 days of receipt
• reporting funding decisions in the first instance, by phone within 2
working days, and in writing within 5 working days.
4.3.2. Timeliness and acceptability of reporting. The HIE Consortium is
committed to providing all agreed reports referred to in this tender in
accordance with the timetable stated or otherwise agreed with BIG.
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Assessment Reports will be provided to BIG three weeks prior to GCA
decision meetings in a format approved by BIG and with agreed
supplementary information. The format and content of Assessment
Reports may be reviewed at quarterly meetings. See
Section 1.3.7 for
full details of Assessment Reporting.
The content and frequency of
Progress Reports is detailed in
Section
5.1. Additional information in respect of such reports will be provided to
BIG if requested within 10 working days of receiving the reports.
4.3.3. Accessibility and availability of team members. The HIE Consortium
will provide the Service during every working day and will, additionally,
ensure that adequate cover is provided out of hours when parliamentary
and other business, such as press
interest, requires it. Staff will be
Staff honest and open, flexible
available by prior arrangement for
and responsive; “It has been an
meetings with client groups out of
easy relationship. “ We meet or
normal working hours.
talk occasionally. It is easy to
arrange a meeting if the need
The HIE Consortium will keep under review the
arises. They don’t talk down to
level of staffing necessary to deliver the Service
us.
and will discuss with BIG any possible changes at
the regular meetings.
Responsibility for ensuring the effective day-to-
day operation of the Service will lie with the
Evaluation of Forth
Service Manager, currently Andrew Anderson,
Sector programme
Head of HIE’s CLU. Overall responsibility for
by Shaw Howarth
supervising the delivery of the Service lies with Dr
Ltd.
John Watt, Director of HIE’s Strengthening
Communities Group.
The Service Manager will be responsible for keeping BIG’s
Representative informed of the day-to-day progress of all matters
relating to the delivery of the Service.
The HIE Consortium will use its best endeavours to ensure that BIG’s
Representative, and BIG’s Communications Officer in Scotland, are
made aware as soon as possible of any matters involving this
Agreement which may attract publicity. BIG undertake to do likewise to
the HIE Consortium.
4.3.4. Attendance and contribution at relevant meetings will be monitored
using the following indicators:
• HIE’s Service Manager available to attend four quarterly meetings
with BIG staff per annum
• the HIE Consortium’s contribution to quarterly meetings detailed in
Section 5.1 will be adhered to
• HIE’s Service Manager, and other staff as appropriate, will attend all
scheduled GCA decision meetings (See also
Section 5.1)
• the reporting to GCA decision meetings detailed in
Section 5.1 will
be adhered to
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• HIE’s Service Manager will meet annually with BIG to review and
audit the contract and activity
• the HIE Consortium will co-operate with BIG’s annual compliance
visit and ensure that all its records are available for inspection and
process audit. These will be undertaken to pre-agreed standards set
by BIG.
4.3.5. Standard of Work. In the delivery of the GCA programme the HIE
Consortium will carry out all the services using reasonable care, skill
and diligence.
All staff assigned to the performance of the Project shall possess and
exercise such skill and experience as being necessary for their proper
performance in the delivery of the Service.
The HIE Consortium will ensure that resources are planned, organised
and executed to the highest standards.
4.3.6. Notification and handling of any complaints. The HIE Consortium
will:
• make parties aware of the complaints procedure and advise any
party seeking to complain to do so in writing
• forward all complaints received to BIG promptly
• co-operate with any BIG complaints enquiry including undertaking
internal investigations on behalf of BIG in relation to any complaints
under investigation
• discuss with BIG any outcomes and proposed actions in response to
any upheld complaints and implement changes or actions necessary
following complaints which ameliorate difficulties or problems in
service implementation
• consider the reputation of BIG at all times in relation to complaints.
4.4. REPORTING ON KEY PERFORMANCE INDICATORS
The following table gives the key performance indicators to be applied to the
delivery of the service and the means of reporting them.
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Table 4.1 – Key Performance Indicators
KPI
Indicator
Point of
reporting
Key targets for HIE Consortium in lead-in GCA fully operation by 1st First quarterly
phase met
October
meeting after 1st
October
Enquiry referral system operating
Report on number and
GCA quarterly
successfully and appropriately referred
distribution of enquiries
meetings
All Assessment Reports will be well Reports delivered to BIG 3 GCA quarterly
researched, clearly documented and weeks prior to GCA decision meetings
submitted on time
meetings
Post-acquisition development support • Aftercare officers
GCA quarterly
implemented according to programme
allocated to all Cat. 1a & 1b meetings
detailed under 1.3.10.6
initiatives
• number of completed
training needs analyses
• number of awards for
development funding
Grant monitoring programme implemented Number of:
GCA quarterly
according to programme detailed under • progress reports
meetings
1.3.33
• Health Checks
• Baseline studies
• 5 Year reviews received
HIE’s Service Manager’s attendance at Presence at meeting
GCA decision
GCA decision meetings
meetings
HIE’s Service Manager’s attendance at Presence at meeting
GCA
quarterly
GCA quarterly meetings
meetings
Quality of customer service compliant with Results of ‘Mystery Shopper’ Annual report
HIE Network Services Charter
spot check on responses to
clients
Accurate information passed to BIG to Grant payment schedule and GCA quarterly
enable timely grant payments
records
meetings
All complaints investigated and resolved Number of complaints received GCA quarterly
to the satisfaction of both parties
and, of these, the number meetings
resolved
4.5. RISK REGISTER
Table 4.2 below indicates the risks seen as relevant to the delivery of the GCA
programme and the steps that will be taken by the HIE Consortium to mitigate
and manage that risk profile.
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Table 4.2 – Risk Register
Type of risk
Risk identified
Means to mitigate risk
Operational risk
Number of enquiries exceeds
• Regular reviews of enquiry
expectation
numbers and system of OPF
referrals
• review staffing levels with BIG
Number of enquiries less than
Review promotional work and system
anticipated
of OPF referrals with BIG
Number of applications exceeds
Assess quality of application
expectation
assessment process, review breadth of
GCA programme with BIG
Number of applications less than
Review approach to pre-acquisition
anticipated
development support, review
promotion of GCA programme with BIG
Organisational
Difficulties in management of
• Clear letters of agreements
risk
Consortium partners
between HIE and Consortium
partners outlining service levels
expected
• regular meetings between
members of the Consortium
• Board meetings and staff team
meetings at least quarterly
• maintenance of open and frank
working relationship
Insufficient consistency in delivery •
System of peer review across
of programme across partners
consortium members -
SECTIONS
1.3.6 & 1.3.7
• training across staff from all
member organisations. Staff team
meetings at least quarterly
Risk associated
Insufficient community capacity to
Review level of pre-acquisition support
with client group
bring forward funding applications
Insufficient community capacity to
Review training needs analysis and
bring forward development
level of post-acquisition development
programmes
support allocated
Development support does not
Review system of post-acquisition
result in the desired outcome of
development support and its means of
the sustainability of projects
allocation
External risk
Changing perceptions and
Review the results and means of
policies concerning community dissemination of wider evaluations of
asset based development
GCA and the sector
HIE has an on-going programme of risk assessment that is used as an integral
part of our own approach to project appraisal. This will be adapted as
appropriate and applied by the HIE Consortium to assess and report on the
risks associated to every application for funds
including delivery, impact,
threats and reputational impact on BIG.
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5. COMMUNICATION AND MANAGEMENT REPORTING
5.1. COMMUNICATION BETWEEN THE HIE CONSORTIUM AND BIG
5.1.1. Quarterly meetings. HIE’s Service Manager will meet quarterly with
BIG. The follow items will be reported on and discussed:
• progress on delivery of the GCA investment area - number of
referred and direct enquiries received, number of completed OPFs
received, number of applications received
• spend (as sanctioned by officers), geographic distribution of funds
and type of activity
• planned activity and projected developments to ensure that BIG
understands the short, medium and long-term issues and objectives
being pursued. These will be agreed with BIG's GCA Contract
Manager prior to implementation
• any issues arising out of applications received
• the effectiveness of the HIE Consortium in delivery of the GCA
programme and any issues arising out of the delivery of the
programme
• any amendments to the Service or standards of Service
• any variations to the scope of the Service to be provided
• the expenditure and budget for the previous quarter
• the relationship between the HIE Consortium and BIG over the
preceding quarter.
5.1.2. Annual meetings. HIE’s Service Manager will meet annually with BIG
to review and audit the contract and activity.
5.1.3. GCA Committee meetings. HIE’s Service Manager, and other staff as
appropriate, will attend all GCA decision meetings to present and
respond to questions on applications presented. In addition the Service
Manager will report progress in relation to GCA, including:
• number of grants awarded, their distribution by geography and type
of activity
• progress against targets set with BIG in advance
• financial positions.
5.1.4. Recording Committee meetings. The outcome of the above meetings
will be formally recorded in writing and copies of minutes shall be
circulated to and held by BIG’s Representative and HIE’s Service
Manager.
5.1.5. Access to Records. The HIE Consortium will give full access to all
records associated with delivery of the contract to BIG (or its agents) as
required. We will make standard annual financial returns that comply
with BIG’s Audit Department.
5.1.6. Spot Reports. The HIE Consortium will provide progress or spot
reports as and when required by BIG in response to any external
enquiries made in relation to GCA.
5.1.7. Communications. HIE will maintain excellent communications with
BIG at all times ensuring that BIG is well informed, aware of issues and
central to decision making in relation to progress. The HIE Consortium
Contract Manager will be Dr John Watt (Director of HIE’s Strengthening
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Communities Group) who will carry prime responsibility for the GCA
contract and will be the Accountable Officer in relation to BIG and BIG's
requirements for the GCA Contract.
The HIE Consortium Service Manager will be Andrew Anderson (Head
of CLU) who will carry prime responsibility for the delivery and
implementation of services funded under GCA and will be the
Accountable Officer for Service Implementation and Delivery. The
Service Manager will be accountable to the Contract Manager within the
Consortium's operations.
All reporting will be channelled through BIG's GCA Contract Manager.
5.2. COMMUNICATIONS
WITH
STAKEHOLDERS
AND
OTHER
THIRD
PARTIES
5.2.1. Media Communications and public relations. The HIE Consortium
will offer full support to BIG to allow it to maintain excellent media
communications and public relations for GCA, see
Section 1.3.15 for
full details.
5.2.2. Promotion. We will work with BIG in order to promote GCA to third
parties. We will respond to requests for promotional presentations from
community level organisations, sector related bodies and other
interested groups.
5.2.3. Stakeholder involvement in monitoring. Recipients of GCA awards
will be involved in a full process of monitoring and review. This will
involve monitoring of awards and the progress of the groups in receipt of
grants (‘entity’). This process is described fully in
Section 1.3.33.
5.2.4. Stakeholder involvement in wider evaluation. The HIE Consortium is
committed to supporting BIG in its efforts to be an intelligent funder as
part of this process we will, where appropriate, engage stakeholders and
appropriate third parties in wider evaluations of the GCA programme.
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6. PRICE, CHARGES AND PAYMENT PROFILE
Information in this section has been concealed under Section 43
Commercial Interests
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Information in this section has been concealed under Section 43
Commercial Interests
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Information in this section has been concealed under Section 43
Commercial Interests
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7. CONFLICT
OF
INTEREST
7.1. KNOWN CONFLICTS
Members of the HIE Consortium currently deliver the following services to BIG:
• HIE and SE currently manage the Scottish Land Fund on behalf of BIG
• FS a short-term consultancy and training contract lasting 5 days.
HIE is not aware that any other of its personnel, partners, associates or
Consortium members are already working with or providing services to BIG.
None of the member organisations of the HIE Consortium or its advisory
bodies will be eligible organisations to apply for funding under GCA.
7.2. FUTURE CONFLICTS
HIE and its Consortium partners provide a wide range of services for a large
number of clients, including clients whom BIG may regard as having a conflict
of interest with them. HIE has established procedures to identify situations
where a conflict of interest might arise, however, HIE cannot be certain that it
will have identified all of those which may exist, or develop, in part because it
is difficult for HIE to anticipate what BIG may consider as a conflict. If HIE
becomes aware of a potential conflict affecting the contract, it agrees to notify
BIG immediately. Where a potential conflict is identified and HIE believes that
BIG’s interests can be properly safeguarded by the implementation of
appropriate procedures, HIE will implement arrangements to preserve
confidentiality.
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8. CONTRACT TRANSFER AND EXIT STRATEGY
8.1. ORDERLY TRANSFER OF SERVICE UPON TERMINATION OR EXPIRY
If upon expiry or termination of the Contract another party is instructed by BIG
to provide the Service, the HIE Consortium shall provide all reasonable co-
operation in the transfer of the Service. The transfer shall be arranged to
minimise any interruption in the Service.
The HIE Consortium will:
• ensure that Transfer of Undertakings, Protection of Employment (TUPE)
legislation is applied for the benefit of:
experienced staff no longer required by the Consortium
the continuity of services if transferred
the orderly expiry of services
the GCA applicant constituency.
• Provide copies of all project and management files in electronic format with
paper copy of all signed documentation including:
a statement on the current development position of all active cases
a claims statement for all active cases
a monitoring position for all relevant cases.
• Provide copies of relevant process diagrams and procedures and offer
instruction and clarification on those including:
quantified training and coaching agreed with BIG.
• Generate and provide close-out reports for all activity and for the individual
project and overall financial position.
8.2. EXTENSION OF SERVICES BEYOND INITIAL THREE YEAR PERIOD
Regarding potential extension of the services, the HIE Consortium would make
an assessment of the volume of applicant activity forecast and utilise the
contract change procedures within the contract to agree with BIG all changes
required, including additional reimbursement for services that would be
necessary to continue the services beyond the initial contract period (i.e.
beyond March 2009).
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9. LEGAL AND CONTRACT RELATED
9.1. PART I (DECLARATION) AND PART II (BIDDER QUALIFICATIONS TO
THE PROPOSED CONTRACT DOCUMENTS)
Dear Big Lottery Fund
Contract for the Provision of Outsourced Grant services
Having examined the proposed Contract comprising: Section One - Form of Tender
Parts I, II, III; Section Two - Conditions of Contract; Section Three - Scope of Work;
Section Four - Pricing; and Section 5 - Administrative Instructions; as enclosed under
cover of your Invitation to Tender letter dated 22nd May
2006.
We do hereby offer to enter into a contract with THE FUND on the terms and
conditions in the said Contract, subject only to Bidder Qualifications as may be
stipulated in the Form of Tender Part II.
We undertake to keep the Tender open for acceptance by THE FUND for a period of
sixty (60) days from the return date.
We declare that this is a bona fide Tender, intended to be competitive, and that we
have not fixed or adjusted the amount of the Tender by, or under, or in accordance
with, any agreement or arrangement with any other person. We further declare that we
have not done, and we undertake that we will not do, any of the following acts prior to
award of this Contract:
(a) Collude with any third party to fix the price of any number of Tenders for this
Contract;
(b) Offer, pay, or agree to pay any sum of money or consideration directly or
indirectly to any person for doing, having done, or promising to be done, any
act or thing of the sort described herein and above.
We confirm that we have no Parent Company.
Unless and until a formal Contract has been executed by us both, your written
acceptance of this Tender with all its enclosures shall constitute a binding contract
between us. We understand that you are not bound to accept the lowest priced, or any,
Tender.
Signed:_______________________________________________________________
Date: ________________________________________________________________
Name: _______________________________________________________________
in the capacity of:_______________________________________________________
duly authorised to sign tenders for and on behalf of:____________________________
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Contract for the Provision of Outsourced Grant service
Clause
Details of Qualification
Cost
Reference
Adjustment
(£)
A 7.1
Insert the word “exclusively” after the word “arising” on line
NIL
3.
This is required because HIE will be using some of the
information gathered in support of applications for financial
assistance from HIE.
B 5.2
Delete this clause and substitute the following: “The Service
NIL
Provider is subject to the terms of the Freedom of
Information (Scotland) Act 2002 (“FOISA”). The Fund shall
identify clearly any such business or trade secret as
described in clause B 5.1 which would prejudice
substantially the commercial interests of the Fund if
disclosed pursuant to FOISA.”
This is required because HIE is subject to FOISA. The
clause largely mirrors clause B 5.1.
Schedule A This will comprise
Sections 1, 2, 3, 4, 5, 7, 8, and 10.
NIL
Schedule D This will comprise
Section 6 and
Appendix IV of the
NIL
Bidder’s Response document.
9.2. PROFESSIONAL INDEMNITY
HIE and SE, as statutory bodies funded by the Scottish Executive, are not
required to maintain Public Liability Insurance. HIE and SE are exempt from
requiring to have Employers’ Liability Insurance. HIE and SE do not carry
Professional Indemnity cover as their covenants as public bodies, fully funded
by the Scottish Executive, are sufficient.
The HIE’s other Consortium partners have Professional Indemnity Insurance of
£1,000,000 which we consider adequate.
9.3. PARENT COMPANY
HIE, as lead partner, does not have a parent company.
9.4. DOCUMENTS THAT SHOULD FORM PART OF THE CONTRACT
Not applicable.
9.5. LEAD PARTNER DETAILS
The lead partner, HIE, was established by the
Enterprise & New Towns
(Scotland) Act 1990. The full name and address are detailed below:
Name:
Highlands and Islands Enterprise
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Chief Office:
Cowan House
Inverness Retail & Business Park
Inverness
IV2
7GF
Company Registration no: Not applicable
9.6. TENDER SIGNATORIES
The tender will be signed by one of HIE’s authorised signatories, who are
Sandy Cumming, Sandy Brady and Allan MacLeod.
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10. ASSUMPTIONS AND CUSTOMERS OBLIGATIONS
10.1. CATEGORISATION
The HIE Consortium has, from its experience, made the following
assumptions regarding categories of applicant/project and have used these to
provide a detailed response to BIG’s scope for the services. The HIE
Consortium recognises that these or any other categories will have to be
agreed with BIG prior to any delivery of GCA services on behalf of BIG.
Table 10.1: Proposed Outcomes by Project Type
MINIMUM
CATEGORY 1a &1b (note 1)
CATEGORY 2
CATEGORY 3
PROJECT
OUTCOMES
IMPACT
Whole community benefit: multi-
Whole
Benefit to specific
faceted and wide ranging outcomes community
sector within a
benefit: single
geographic
faceted
community –
thematic
BIG GCA – core Minimum: All of top 3
Minimum: 1 out
Minimum: 1 out of
purposes (
Note
of top 3 and one
6
2)
other
Community
8 significant benefits to local
4 significant
2 significant
enhancements
community, identified and fully
benefits to local
benefits to local
(from baseline
costed
community
community
study)
identified and
identified and fully
fully costed
costed
Employment
YES – primary & secondary
Minimum: short-
not necessary
(specific targets)
term primary
Income
Sustainable to level that it is able to
Sustainable
Not necessary –
Generation
re-invest its own profits/ resources
project – 5 years but require to
in wider community over 10 years
demonstrate at
least 3 years
project
sustainability
Environmental
Included fully in business plan –
Must be fully
To be detailed if
policy & impacts
with specific environmental
included in
relevant to project
objectives, targets and impacts
business plan –
with specific
environmental
objectives
Children &
Mandatory – expect junior
Must have
Must have
Youth
membership scheme and policies
evident policies
statement in
Involvement
and projects which tackle young
and projects
business plan –
persons’ issues
which tackle
level of detail
youth issues
depends on
and youth
nature of project
involvement
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Notes
Category Definitions (see also
Section 1.3.10)
Category 1a: Large-scale community regeneration projects (receiving GCA grants in the
region of £1m). Initiatives looking towards full community regeneration (e.g. the purchase and
management of an estate or the construction of a multi-functional community centre which
also has offices, business units to lease out etc). The applicant itself will have ambitions to be
a regeneration agency in its own right and will demonstrate capacity to be profit making and
have plans to re-invest profits in further community development.
Category 1b: Significant-scale projects with same aspirations as 1A but looking to access
grants of less than £1m from the GCA.
Category 2: Medium-scale projects providing community-wide benefit. These projects will
provide benefit for the whole community but are single-faceted (e.g. a community owned
shop, or a community owned amenity woodland).
Category 3: Small-scale projects providing benefits to a sector within a community. E.g. the
purchase of a building for a drugs rehab project or a community nursery.
GCA core purposes 1. Significant regeneration of the local area and the creation of sustainable livelihoods
2. improving the appearance, safety, accessibility and biodiversity value of community
environments and green spaces
3. providing essential community services, and increasing access to these
4. community-based approaches to the production, consumption and celebration of
healthy, sustainable food
5. community-based approaches to renewable energy, sustainable buildings and
sustainable resource use
6. enabling better access to local services and environments through cycling, walking
and sustainable motorised transport.
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10.2. REQUIREMENTS
The following table describes project requirements by the proposed
categories.
Table 10.2: Project Requirements by Proposed Categories
PROJECT
CATEGORY 1a
CATEGORY 2
CATEGORY3
REQUIREMENTS
&1b
Feasibility study –
YES YES YES
professional and
technical reports
demonstrating positive
potential of project, and
including community
consultation and
identifying other support
agencies and initiatives
Community baseline
Essential Recommended
–
Not essential – but
survey – benchmarking
applicant will need applicant will need to
where community is on
to show evidence
show evidence that the
a wide range of
that the particular
project meets a
pertinent local and
project is
significant sectoral need
national indicators &
embedded in a
within a community and
identifying strategic
specified whole
has additional wider
community needs
community ‘need’
community benefits
Community support for
Normal –
Normal –
Formal evidence of
project
independent ballot
independent ballot wider community
endorsement
Detailed and costed
10 years (5
5 years (3 detailed 3 years (3 detailed)
business plan
detailed – 5
– 2 thematic)
schematic)
Equal Opportunities
Yes Yes Yes
Policy
Local community
At least 25 active
At least 15 active
At least 10 active wider
volunteer involvement –
volunteers plus
volunteers plus
community volunteers
(names on a volunteer
community
community
register)
directors
directors
Community control of
At least 75% of
At least 75% of
At least 50% of
applicant company
membership and
membership and
membership and
directors from local directors from
directors from local
geographic
local geographic
geographic community
community
community
Strategic partnerships
Expected Expected Relevant
partnerships
with agencies and other
encouraged – if a
community /voluntary
special interest group,
sector organisations
then at least there
should be a degree of
partnership with a
community association
or community council
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10.3. ASSUMPTIONS ON DISTRIBUTION OF AWARDS
The table below shows the assumptions that the HIE Consortium have used
regarding distribution of grants.
Table 10.3: Approvals By Project Type
Category
Average
Applications
Approvals Total
(£)
amount
developed
1a 1,000,000
25
20
20,000,000
1b 250,000
50
40
10,000,000
2 100,000
150
100
10,000,000
3 15,625
1,000
640
10,000,000
Totals
1,225
800
50,000,000
10.4 INTERVENTION LEVELS
The next additional table attempts to translate the table above into suggested
funding maxima and intervention levels. We have included these as we feel
that applying these as
normal maxima will add value in terms of managing
expectations and supporting our major assumption that priority will be given to
projects delivering the biggest impacts. (1a, 1b and 2).
Normal maximum technical assistance of £200k and normal maximum 85%
intervention rates for acquisition, 75% for revenue and 50% for development
are understood to have been set by BIG. We suggest the following additional
thresholds as normal maxima, but recognise that individual cases may require
variations, for example a group buying an urban site with some contamination
to build a significant community facility could have a very low acquisition cost
but much higher development cost.
Table10.4: Anticipated Funding Maximums & Intervention Levels
Category
Technical
Acquisition of
Revenue
Capital
Assistance
Assets
Support
Development
Up to 100%
Intervention
Intervention
Intervention Rate
intervention
85% of
Rate 75%
50%
independent
valuation
(normal
Normal
Normal
maximum 5
Normal maximum
Maximum
Maximum
years)
1a 200,000
1,000,000
125,000
1,000,000
1b 100,000
500,000
125,000
500,000
2 20,000
150,000
10,000
100,000
3 10,000
50,000
10,000
50,000
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APPENDIX I – DESCRIPTIONS OF HIE CONSORTIUM MEMBERS
HIGHLANDS AND ISLANDS ENTERPRISE (HIE) (
http://www.hie.co.uk)
HIE is a non-departmental government body set up by statute and is the Scottish
Executive’s economic and community development agency for the Highlands and
Islands of Scotland, covering just over half the land mass of Scotland and a
population of around 460,000. The HIE Network, established in 1991 as a
successor to the earlier Highlands & Islands Development Board (HIDB), currently
comprises t
he HIE core and nine Local Enterprise Companies (LECs) and also
incorporates the Careers Scotland activity in the HIE area. HIE’s aim is
‘to enable
the people living in the Highlands and Islands to realise their full potential on a long
term sustainable basis’. With one of its key strategic objectives being
‘
Strengthening Communities’, HIE is particularly well aligned with the aspiration of
BIG’s GCA investment area.
(EC 1, 3, 4, 6, 7, 10) HIE is well known to BIG
through its provision of services in delivering the Scottish Land Fund since late
2000.
HIGHLANDS AND ISLANDS COMMUNITY ENERGY COMPANY (HICEC)
(
http://www.hie.co.uk/community-energy.html)
HICEC is a non-profit distributing company limited by guarantee, with a voluntary
board of directors. Currently, it has one member – Highlands and Islands
Enterprise – and is a HIE subsidiary. HICEC was formed from HIE’s Community
Energy Unit, which was created in 2002. HICEC itself opened for business in April
2005 and operates through a mixture of 5 core staff and 5 contracting agents
across the Highlands and Islands. HICEC would employ an additional staff
member based in the South of Scotland to advise communities outside the
Highlands & Islands.
HICEC provides assistance to non-profit distributing community-based groups for
both small and large-scale renewable energy projects. ‘Small-scale’ projects
typically include those that are integrated with community buildings and aim to
reduce running costs which contribute to green energy aims. Larger projects
typically involve wind turbine projects designed to generate a long-term revenue for
a community group to invest in its community’s development. HICEC currently
provides assistance from the earliest stage of a project (for example when a group
is starting up) potentially through to a capital investment in a larger scale project.
SCOTTISH ENTERPRISE (SE) (
http://www.scottish-enterprise.com)
SE is also a non-departmental body set up by statute in 1991. It is the other main
economic development agency for Scotland, covering 93 per cent of the population
from Grampian to the Borders. Communities within the SE National area have
access to a wide range of business support and skills development programmes.
SE consists of SE and
12 Local Enterprise Companies (LECs). It aims to secure
the long-term future of the Scottish economy by making our industries more
competitive. It;
• provides a range of high-quality services to help new businesses get
underway
• supports and develops existing businesses
• helps people gain the knowledge and skills they will need for tomorrow's
jobs; and
• helps Scottish businesses develop a strong presence in the global economy
building on Scotland's reputation as a great place to live, work and do
business.
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Its priorities include commercialisation of academic ideas into good business
opportunities, e-business, globalisation and economic inclusion. It works with
universities, colleges, local authorities, and of particular importance to GCA, the
emerging social economy where there is a desire to trade or develop, as well as
other public sector bodies to achieve these goals.
SOCIAL INVESTMENT SCOTLAND (SIS)
(
http://www.socialinvestmentscotland.com)
SIS provides access to loan finance for social economy organisations based or
operating in Scotland, who are unable to obtain any or all of their requirements from
conventional sources. Launched in September 2001, the original £3m fund was
fully committed in a little over three years and within the past year SIS launched a
new £6m fund to meet the growing demand for loan finance and to provide loans of
up to £500,000 to support applicants to the Futurebuilders Scotland Investment
Fund. Over the past year SIS has worked closely with the Futurebuilders Scotland
management team undertaking financial appraisal of a wide range of grant
applications, and in a number of instances providing loans to close funding gaps.
Stakeholders in SIS include Scotland’s four clearing banks; Bank of Scotland,
Clydesdale Bank, Lloyds TSB Scotland and the Royal Bank of Scotland, in addition
to SE, HIE, Communities Scotland and SCVO. SIS has worked closely with other
HIE Consortium members on transactions involving a number of urban and rural
social economy organisations. These include One Plus Childcare, Glasgow City
Mission, Edinburgh-based Arts Trust Out of the Blue, Callander Youth Project,
Gigha Renewable Energy Ltd, and Arrochar & Tarbet Community Development
Trust.
COMMUNITY ENTERPRISE IN STRATHCLYDE (CEiS) (http://www.ceis.org.uk)
CEiS is the largest development organisation working with the social economy in
the United Kingdom.
It was founded in 1978 and works with around
70
organisations each year to create or sustain around 250 jobs every year and to
develop services. Its mission is to become Scotland's first choice for providing
business solutions to more-than-profit organisations that want to grow, change and
develop. Working in the field of economic and social development, CEiS has first
hand knowledge and experience of how business development approaches can be
successfully allied with community capacity building. CEiS’s approach is one of
partnership with organisations that share its commitment to strategic growth.
Along with its strong track record in providing practical support for local
organisations, CEiS develops and manages a range of initiatives targeted at
addressing the needs of disadvantaged communities. Amongst these currently are
Childcare Works, Developing Strathclyde Limited the Full Employment Areas
Initiative, the JobShuttle, North Ayrshire Social Economy Growth Programme and
the Community Employment Initiative.
FORTH SECTOR (FS) (http://www.forthsector.org.uk)
FS is a pioneer in social enterprise development. With 15 years experience in the
sector and featured in the DTI report "Social Enterprise -a strategy for success", FS
operates a number of successful social enterprises across various sectors. FS is a
member of the Local Social Economy Partnership (which includes Scottish
Enterprise Edinburgh and Lothian, Communities Scotland, City of Edinburgh
Council, the Capital City Partnership and EVOC) and operates as the local
Gateway for social enterprise support as Social Enterprise Edinburgh. Over the
last four and a half years FS has engaged with over 250 organisations in the
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Edinburgh area either embarking on social enterprise development or wishing to
enhance or expand their current trading activity.
The methodology FS has developed in working with organisations is based on a
mentoring approach giving advice and guidance on all aspects of the development
process, including preparation, idea evaluation, feasibility and business planning -
based on our experience and working in partnership throughout the process. On
this basis FS has worked with organisations throughout the UK and abroad -
including the successful replication of a social firm hotel in Krakow. FS has
developed a number of tools to assist organisations, details of which are in
Appendix II of this document, including the ‘Business Planning Guide for Social
Enterprise’ praised recently by Barbara Phillips, one of the founders of the Social
Enterprise Unit at the DTI. FS is currently contracted to provide pre-application
support to organisations applying for Increase 2 funding for sustainable recycling
activity.
And providing advisory support to the HIE Consortium;
COMMUNITIES SCOTLAND (CS) (http://www.communitiesscotland.gov.uk)
Communities Scotland and Highlands and Islands Enterprise
Framework Agreement
Communities Scotland and Highlands and Islands Enterprise (HIE) have a track
record of working together to transform communities in the Highlands and Islands.
The Scottish Executive’
s Regeneration Statement for Scotland – ‘People and
Places’ envisages key roles for Communities Scotland and HIE working more
closely together to help regenerate these communities.
A major factor in the success of this aim is that both organisations work effectively
together. And so, to build on existing working arrangements, they have together
developed a
framework agreement. This will help to ensure that our respective
responsibilities are clearly defined and understood.
Putting the agreement into action is the most important phase. Both organisations
have already been working together to achieve this. A critical element is about
working with other organisations – local authorities, other public bodies, voluntary
and community organisations, as well involving businesses and the wider private
sector. Many of these organisations already work closely with Communities
Scotland, HIE or both, but the Framework Agreement is a useful core document
that should help provide a clear understanding of our roles.
DEVELOPMENT TRUSTS ASSOCIATION SCOTLAND (DTAS)
(
http://www.dtascot.org.uk)
DTAS is the national umbrella body for development trusts. Development trusts are
independent, community-based organisations that lead programmes of local
regeneration and renewal. They undertake a broad range of work in order to
address the social, economic, environmental needs of their communities and seek
financial self sufficiency through enterprise and asset based development.
Established in 2003, DTAS aims to draw together this growing movement and to
provide them with opportunities to network with each other and to share their ideas
and experiences. DTAS was also set up to support the formation of new
development trusts in communities that wanted one. To this end, DTAS offers a
wide range of development support to this section of the independent community
sector including start-up advice and support, capacity building and brokered
business advice.
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GREENSPACE SCOTLAND (GS) (http://www.greenspacescotland.org.uk)
GS was established in 2003 to provide a national lead for the Greenspace for
Communities Initiative. GS works with national and local partners towards the
shared goal that everyone living and working in urban Scotland has easy access to
a quality greenspace which meets local needs and improves their quality of life.
Working nationally, GS is championing greenspace – demonstrating the multiple
impacts of greenspace and making policy connections; developing and sharing
good practice in greenspace creation, management and promotion – signposting
and providing good practice guidance material together with training and
networking opportunities. Working locally, GS is the national umbrella for a
network of greenspace partnerships and trusts working across urban Scotland
supporting communities to develop and manage community greenspaces. This
network touches 70% of the Scottish population, covering 19 of the 32 Scottish
local authority areas, and has a strong focus on areas of deprivation covering
three-quarters of Social Inclusion Partnerships. GS is a company limited by
guarantee and a recognised Scottish Charity.
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APPENDIX II – TOOLS AND RESOURCES DEVELOPED BY CONSORTIUM
HIGHLANDS AND ISLANDS ENTERPRISE has developed a
‘Model’ Memorandum
and Articles of Association (http://www.hie.co.uk/community-body-model-ma-
0505.doc), to assist community companies to conform to the requirements of Inland
Revenue, Companies House and the Land Reform Scotland Act (2003).
HIE has produced detailed guidance notes and publications on
‘Community Land
Ownership’ (
http://www.hie.co.uk/HIE-land_leaflet.pdf) and ‘easy-read’ guides for
community bodies interested in utilising the benefits of ‘Community’
(
http://www.hie.co.uk/HIE-community-right-easyread.pdf) and ‘Crofting Community’
(
http://www.hie.co.uk/crofting-right-to-buy-0604.pdf) Right to Buy provisions of the
Land Reform (Scotland) Act 2003.
HIE has practical experience of carrying out and facilitating community
baseline
studies and
five year reviews for evaluation purposes, and has also produced a
simple health check exercise specific to community land trusts.
HIGHLANDS AND ISLANDS COMMUNITY ENERGY COMPANY
(http://www.hie.co.uk/community-energy.html
). The HICEC
‘Step by Step Guide to
financing community renewable projects’ provides an introduction to capital finance
for community energy projects seeking HICEC support. It draws on the experience of
established community energy projects such as on the Island of Gigha and the
Baywind Energy Co-op in Cumbria.
The guide is not relevant to smaller scale renewable energy installations designed to
fulfil a particular energy requirement, which are unlikely to require finance (these are
dealt with separately by HICEC).
The guide’s focus is finance. HICEC is developing further guides on the technical
aspects of renewables development. Apart from setting the essential context, it
concentrates on capital structuring and sources.
An interactive spreadsheet forms an integral part of the guide. It incorporates all the
key points and is designed to be a guide to demonstrate the principles of finance. This
is located on a CD-Rom inside the back cover of the guide.
SCOTTISH ENTERPRISE has positive experience of using a wide range of SIRIUS
software
diagnostic tools (http://www.sircon.co.uk/index.asp) for the social enterprise
sector ranging from start-up support, through health checks to full business reviews.
CEiS has developed two tools that are of particular relevance to the delivery of GCA.
Enquiry process and assignment brief. An on-line electronic enquiry system that
records contact details, nature of enquiry, previous work with CEiS and location against
our key target areas for funders / eligibility. This is circulated electronically to relevant
staff to deal with within a specified time.
An enquiry meeting then takes place with prospective clients and lead staff member.
From this an assignment brief is prepared. The brief sets out the context for the request
for assistance, nature of the request, key outcomes and outputs, input required from
the client, assignment team, funding for the work and main dates. Standard paragraphs
are included in relation to participation in any monitoring and evaluation activities,
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formal response / acceptance of the brief and acknowledgement of funders. No work
begins until the client has formally accepted the brief.
Investment readiness tool (IRT) A process targeted at the needs of the social
economy. The Tool assists organisations assess their state of readiness to take on
non-grant funding and provides them with a plan of action to move forward and take up
new financial opportunities. CEiS’s drew on our client network of social economy
organisations to make sure the Tool addressed their needs in an accessible form.
Major banks, statutory bodies and other funders were also involved to ensure that the
Tool met their requirements as potential investors in the social economy.
The Tool can benefit any organisation. Geared towards sustainability, it focuses on
identifying development needs and agreeing a set of actions to improve its ability to
access and manage non-grant finance. Aspiration to grow, develop or change is the
key characteristic of those organisations which have used the Tool so far. The IRT is a
two stage facilitated process at the end of which organisations are either linked to
appropriate local support or assisted to secure alternative funding sources such as
loans or equity. The first stage is a self assessment matrix used by staff and
committee/board members to identify where they rank the organisation in terms of a
number of key operational factors. The second stage is a capital funding matrix used to
analyse the financial information relating to current activities and any forecast as part of
either a business plan or new service development. Both matrices are computerised
and produce reports for discussion with organisations on their development needs.
FORTH SECTOR through SEDI/SEE – now ‘Social Enterprise Edinburgh’ (SEE) - have
produced and used a wide range of useful tools
(www.go4see.info):
‘Legal Toolkit’. The toolkit assists social enterprises to identify the correct legal
structure for their organisation. It is a straightforward, practical tool which allows
organisations to narrow down the choices and highlights specific topics that need
further investigation. Stephen Phillips of Burness Solicitors – a named expert in charity
law - worked with FS to develop the tool.
‘Funding and Finance’. A PDF guide to the funding and finance that is available
within Scotland and the UK. The document is organised into 4 sections: grants; loans;
bank accounts; and funding guides. Information on grants includes: name of funder;
how much is available; what areas they fund; restrictions and contact/further
information. Similar information is provided for the other categories. The information is
updated on a regular basis.
‘The Marketing Perspective’. This document is designed to assist organisations to
carry out initial market research to evidence if there is a market for their goods or
services. By examining the ‘marketing perspectives’ the guide encourages
organisations to move from a grant orientated perspective to an ethos of sustainability
through sales, if the market exists for such goods and services.
‘Business Planning Guide’. The guide is a step-by-step approach to starting up a
social enterprise and focuses on the key issues which must be considered in business
development. The guide assumes that readers have a basic knowledge of the
business planning process. It recognises that there is a wealth of good material
available to support business planning and signposts readers to those sources. The
guide is a good management tool for social entrepreneurs, community groups and
voluntary organisation that wish to generate income from trading or commercial activity.
A business plan template is available.
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‘Guide to Briefing Consultants’. The guide was produced as a result of Forth Sector
Development’s (FSD) experience of the expectations of organisations that use
consultants. While FSD works in a mentoring role, it is aware of the added value that
consultants can produce. The guide highlights that it is imperative that consultants are
properly briefed in order that they can produce meaningful information on which to
base future decisions. It also encourages organisations to consider the depth of
knowledge that already exists internally and use that information rather than paying a
consultant to tell them what they already know.
DEVELOPMENT TRUST ASSOCIATION SCOTLAND have produced a useful range
of tools (http://www.dtascot.org.uk/newsandevents.cfm#PUBLICATIONS)
‘Start-up toolkit: Establishing an effective legal structure for a successful
development trust.’ This can be used as a self-help resource and is comprised of
three modules.
[1] Introduction to Development Trusts
[2] Establishing a legal structure
[3] Roles and Responsibilities of being a director of a company limited by guarantee
and the additional roles and responsibilities of being a director of a company that is
also a registered charity.
‘A guide to setting up a trading subsidiary’. Designed as a self help guide for
charities that wish to become involved in trading activities that are not in themselves
charitable. The guide covers areas such as the basic principles of why a charity should
consider this, how to structure the financial arrangements between the parent company
and the trading subsidiary, a model memo and arts etc.
‘Development Trust Healthcheck’. The Healthcheck is an organisational
development and review tool. Designed around the four key characteristics of a
development trust – community controlled, aiming for self sufficiency, engaged in long
term sustainable regeneration and actively involved in partnerships with others – the
healthcheck provides development trusts with the means to evaluate their own
performance and identify areas for future improvement.
‘So You Want To Become A Development Trust?’ A step by step guide for
communities that want to set up a development trust. This is a more comprehensive
resource than the Start Up Tool Kit which is going to be incorporated into the body of
this guide. Sections on financial management, community engagement, impact
mapping and business development.
‘To Have and To Hold – A Guide to Asset Development’. A comprehensive guide to
all aspects of developing an asset (building local support, feasibility, securing finance,
business planning, construction and development of land and buildings, dealing with
professional advisors, legal issues) and managing assets (operational sustainability,
maintaining community support).
GREENSPACE SCOTLAND The Greenspace LEAP Framework
(
http://www.greenspacescotland.org.uk/default.asp?page=191) was developed in
partnership with local projects, partnerships and national agencies by
GS and the
Scottish Community Development Centre. The Greenspace LEAP Framework is a
planning and evaluation tool which can be used to support communities and groups to
identify the ‘need’ they are addressing through this ‘project’, to identify what ‘success’
looks like (outcomes) and how this will be measured (outcome indicators). This
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enables communities to develop their own project evaluation and to maximise and
share their learning from the process. The Framework supports the development of
outcomes and outcome indicators across the three elements of people, place and
impacts and will be a useful tool in helping community groups establish baseline
studies, and articulate their ambition and development plans though a structured
framework.
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APPENDIX III – PROCESS FLOW DIAGRAM
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APPENDIX IV – BUSINESS PLAN
1. Executive Summary
The Business Plan summaries how the HIE-led Consortium will deliver the GCA,
and details the costs involved. The Business Plan should be read alongside the
Bidder’s Response Document (BRD).
2. Strategic
Fit
The implementation of the GCA is part of a new strategy for the Lottery in Scotland.
It is also consistent with Scottish Executive strategy in the areas of social inclusion
(“Closing the Opportunity Gap”), land reform, asset-based community development
and the forthcoming “Strategy for Social Enterprise”. The GCA is also consistent
with the strategies of all Consortium partners, especially the lead partner HIE
through its Strengthening Communities objective.
3. Operation
Implications
3.1. Consortium Partners
The Consortium is fully described in
Section 1.1 and
Appendix I of the BRD.
The partners bring together significant knowledge of the policy environment in
Scotland. Collectively they have extensive experience not only in the field of
asset-based development, and social enterprise support, but also in managing
public funded assistance programmes.
3.2. Management Credentials and Experience
These are fully described in
Section 1.1 and
Appendices 1 and 4 of the BRD.
3.3. Due Diligence Process and Procedures
HIE as lead partner will control all due diligence processes in administering the
programme. HIE and its predecessor, the Highlands and Islands Development
Board, have over 40 years’ experience in the field of managing grant and loan
schemes to businesses and communities, and complying with strict internal
and external audit procedures. In doing so it complies with the most rigorous
governance, codes of public sector practice and HM Treasury “Green Book”
guidance.
3.4. Skills
The Consortium has already in place, a wide ranging set of experience-based
skills (
Appendix IV). This includes staff which have delivered other Lottery
programmes, including the Scottish Land Fund.
3.5. Training
New staff will be trained up to the level of existing team members. HIE’s CLU
has built up a strong team ethos over 5 years despite being dispersed across
four locations. Training of new recruits will be augmented by team sessions
with all Consortium members’ staff to extend team ethos and ensure skill
exchange and consistency of approach. HIE uses modern ICT solutions for
communications including extensive use of video conferencing.
4. Marketing
BIG will control the production of marketing materials and the management of the
marketing strategy across print, media and website formats. The Consortium will
offer advice on marketing strategies and implement programmes (
Section 1.3.22).
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5. Premises and Equipment
HIE has a policy of dispersing jobs to smaller more remote communities as part of
its development objectives. Current CLU staff are located in Inverness (3),
Auchtertyre, in Lochalsh (7), Lochgilphead (1) and Edinburgh (1). New staff for the
delivery of the GCA will be located in Auchtertyre, Dumfries and Galloway, Tayside
and Grampian, and in the existing premises of Consortium partners in Glasgow and
Edinburgh.
The bulk of grant management will use existing electronic management systems
based in HIE (fully described in
Sections 1.3.11 and 1.3.25. Capital purchase of
IT equipment will be to line up an extension to the existing office at Auchtertyre and
to equip new staff. Costs are detailed in
Sections 3 and 6 of the BRD and
Section
7 below.
6. Procedures and Timetable
The way in which the Consortium intends to deliver the GCA programme is fully
described in
Section 1 and in the Flow Diagram in
Appendix II. The important
lead-in phase is described in
Section 2 and is summarised in
Table 1 of this
Business Plan.
7. Financial
Review
7.1. Costs
These are fully described in
Section 6 of the BRD. This identifies the lead-in
phase and distinguishes between the costs of grant management and those
related to direct beneficiaries as follows:
Table 1: Summary of Costs (over 2.75 years)
Element £
Information redacted under Section 43
7.2. Projected Cost Profile
The Business Plan
Table 2, in this appendix, shows how the costs are incurred
in the mobilization period and across the 3 years of the programme.
7.3. Staffing
Section 3.6 of the BRD gives details of the staffing requirements for the
programme. The BRD describes how staffing figures are derived mainly from
day rate charges by Consortium members.
The total staffing equivalent over the life of the programme is estimated at 34.1
FTE’s. Of these, 9.2 are existing HIE, SE, CEiS, FS and SIS posts which are
these agencies’ contributions to this project. BIG funded posts amount to 24.9
FTEs.
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7.4. Other Operational Elements
The BRD outlines in considerable details the following operational elements:
• risk minimisation (
Sections 1.3.28 and Section 4)
• governance (
Section 4)
• monitoring (
Section 1.3.33)
• reporting (
Section 1.3.20 and Section 5).
8. Exit
Route
This is described in BRD
Section 8.
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APPENDIX V – CURRICULUM VITAE OF KEY STAFF
Personal information redacted
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Social Investment Scotland
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JOB DESCRIPTIONS FOR ADDITIONAL POSTS
Highlands & Islands Enterprise
Job Title:
Rural Aftercare Manager
Responsible to:
Service Manager
Job Titles of Immediate
Subordinates:
Aftercare Officers (x 2)
Location:
Auchtertyre
Overall Purpose of the Job:
The HIE Consortium provides financial assistance and advice to community-led
groups who wish to acquire and develop land, buildings and other assets. The
Aftercare Team provides post-acquisition support to larger Community Land
Initiatives (CLIs) who wish to develop their capacity to manage their assets, and
undertake developments which will create revenue or otherwise increase the
benefits which the communities gain through ownership of the assets acquired.
The Rural Aftercare Manager is responsible for the delivery of the service, for
monitoring and evaluation of projects and for management of the Aftercare Team
(currently three, including the Rural Aftercare Manager). He or she will also have
responsible for providing aftercare to a limited number of larger CLIs.
The post holder is required to liaise closely with the Urban Aftercare Manager
located in Edinburgh to ensure consistency of service and sharing of best practice
throughout Scotland.
In addition the Rural Aftercare Manager provides advice to HIE on crofting policy,
including formation of responses to consultation on proposed changes to crofting
legislation.
Main Duties: • management of aftercare, monitoring and evaluation of community land
initiatives supported by HIE’s Community Land Unit
• line management of aftercare officers, currently two, within the Community Land
Unit, including allocation of case work, work planning, regular performance
appraisal, mentoring and other support as necessary
• design and management of research projects relevant to development of CLIs
• contributing to development of CLU and the HIE Consortium’s post -acquisition
development support policy
• provision of advice on crofting policy to HIE
• working closely with the Urban Aftercare Manager to ensure consistency and
quality of service, and sharing of best practice between the urban and rural
teams.
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Job Title:
Rural Team Leader
Responsible to:
Service Manager
Job Titles of Immediate
Subordinates:
Land Advisers
Location:
Auchtertyre
Overall Purpose of the Job:
Managing delivery of service to applicants with rapid and accurate responses to
queries, engaging with clients and assisting development of applications through to
acquisition of larger assets. Ensuring high quality of appraisal by Land Advisers
and Case Development Officers. Appraising applications, writing recommendations
for consideration by GCA Committee. Promotion of GCA through addressing public
meetings etc when required by BIG and the HIE Consortium. Provision of advice
on the Land Reform Act.
Main Duties:
• line management of Land Advisers, with appropriate mentoring and guidance
• review of recommendation papers written by subordinates
• provision of advice and support to medium and large-scale projects defined as:
Category 1a: Large-scale community regeneration projects (receiving GCA
grants in the region of £1m). Initiatives providing full community
regeneration (e.g. the purchase and management of an estate or the
construction of a multi-functional community centre which also has offices,
business units to lease out etc). The applicant itself will have ambitions to
be a regeneration agency in its own right and will demonstrate capacity to
be profit making and have plans to re-invest profits in further community
development.
Category 1b: Significant-scale projects with same aspirations as 1A but
looking to access grants of less than £1m from the GCA.
Category 2: Medium-scale projects providing community-wide benefit.
These projects will provide benefit for the whole community but are single-
faceted (e.g. a community owned shop, or a community owned amenity
woodland)
• appraisal of applications and writing recommendation reports to the GCA
Committee
• advising community groups on the use of Parts 2 and 3 of the Land Reform Act.
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Job Title:
Land Adviser
Responsible to:
Rural Team Leader
Job Titles of Immediate
Subordinates:
Case Development Officers
Location:
Inverness, Auchtertyre, Dumfries & Galloway,
Edinburgh, Campbeltown, Tayside &
Aberdeenshire
Overall Purpose of the Job:
Providing applicants with rapid and accurate responses to queries, engaging with
clients and assisting development of applications through to acquisition of larger
assets. Appraising applications, writing recommendations for consideration by
GCA Committee. Promotion of GCA through addressing public meetings etc when
required by BIG and the HIE Consortium. Provision of advice on the Land Reform
Act.
Main Duties:
• provision of advice and support to medium and large-scale projects defined as:
Category 1a: Large-scale community regeneration projects (receiving GCA
grants in the region of £1m). Initiatives providing full community
regeneration (e.g. the purchase and management of an estate or the
construction of a multi-functional community centre which also has offices,
business units to lease out etc). The applicant itself will have ambitions to
be a regeneration agency in its own right and will demonstrate capacity to
be profit making and have plans to re-invest profits in further community
development
Category 1b: Significant-scale projects with same aspirations as 1A but
looking to access grants of less than £1m from the GCA
Category 2: Medium-scale projects providing community-wide benefit.
These projects will provide benefit for the whole community but are single-
faceted (e.g. a community owned shop, or a community owned amenity
woodland)
• receiving Outline Project Forms from BIG for these categories, and working with
communities to develop their projects to application stage
• appraisal of applications and writing recommendation reports to the GCA
Committee
• reviewing papers written by Case Development Officers
• advising community groups on the use of Parts 2 and 3 of the Land Reform Act.
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Job Title:
Case Development Officers
Responsible to:
Land Advisers
Location:
Inverness, Auchtertyre, Edinburgh
Overall Purpose of the Job:
The CDO is part of the project team that will be working with applicants, providing
rapid and accurate response to queries, engaging with clients and assisting
development of applications through to acquisition of assets.
A CDO will play an important role in quality control and consistency of presentation
of papers to the GCA Committee.
Collation of accurate reports
Main Duties:
• provision of advice and support to small-scale projects which meet at least one
of the GCA "purposes" (Category 3 cases). These are single-faceted cases
which benefit a specific sector of a community, e.g., the purchase of a building
for a drugs rehab project
• receiving Outline Proposal Forms from BIG for Category 3 cases, and working
with communities to develop their projects to application stage
• appraisal of Category 3 applications
• assisting HIE’s Growing Community Assets project manager with quality control
and consistency of presentation of cases to GCA Committee
• assisting HIE’s Growing Community Assets project manager with creating and
presentation of accurate and timely reports to the GCA Committee and the HIE
Consortium.
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Highlands & Islands Community Energy Company
Job Title:
Renewable Energy Adviser (South of Scotland)
Responsible to:
HICEC Manager
Location:
Glasgow or
Edinburgh
Overall Purpose of the Job:
To provide advice and support for client groups seeking GCA assistance for
renewable energy projects designed to reduce revenue costs or generate income.
Main duties
• First point of contact for specialist assistance on renewable energy
developments for client groups seeking GCA assistance;
• preparation of recommendation papers;
• appraisal of applications and writing recommendation reports to the GCA
Committee;
• provision of post-development advice and aftercare.
CEiS
Job Title:
Environment and Sustainability Adviser
Responsible to:
Florence Burke, CEiS
Location:
Glasgow
Overall Purpose of the Job:
Growing Community Assets (GCA) provides financial assistance and advice to
community-led groups who wish to acquire and develop a wide range of assets
throughout urban and rural Scotland. The HIE Consortium is bidding to deliver
GCA for the Big Lottery Fund in Scotland.
The HIE Consortium provides support before, during and after acquisition, either
directly or through the use of external service providers, to community-led
organisations who wish to develop their capacity to manage their assets, and
undertake developments which will create revenue or otherwise increase the
benefits which the communities gain through ownership of assets.
The Environment and Sustainability Manager is responsible for the providing
advice, both internally within the Consortium, but also to specific community
initiatives; for developing policy on sustainability issues relevant to community
assets and for providing progress reports to the Board of the HIE Consortium.
The main work of the Environment and Sustainability Manager will be in the
Scottish Enterprise Network area of Scotland. The post-holder will be expected to
liaise closely with Highlands and Islands Enterprise (HIE) staff in Inverness and
elsewhere.
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Forth Sector
Job Title:
Social Enterprise Adviser
Responsible to:
Personal information removed
Location:
Edinburgh
Overall Purpose of the Job:
The Social Enterprise Adviser acts as a support to the Business Development
Director and is responsible for providing support to other organisations through
Forth Sector Development and Social Enterprise Edinburgh. This will include
supporting organisations with assistance under the GCA programme.
Main Duties: • to work with the Business Development Director, Senior Management Team
and Commercial Manager to identify opportunities for business development
within Forth Sector
• to develop, devise and implement business development projects for Forth
Sector business activities
• to identify, develop and secure investment or contract opportunities for Forth
Sector business activities
• to work with the Business Development Director and provide business
development support to clients of Forth Sector Development or Social
Enterprise Edinburgh
• to project manage business development support activities for clients within
Forth Sector Development, embarking on community asset based development
• to participate in study visits or deliver business development training and
support
• to work with communities or organisations and provide support to identify
appropriate investment for development activities
• to provide community development support to organisations or groups of
individuals to identify sustainable social enterprise development opportunities
• to provide training or business development support to communities with a view
to starting new social enterprises
• ensure the values of Forth Sector are upheld and maintained across the
organisation and particularly in the businesses
• engage in activities to promote Forth Sector externally
• undertake other duties as required by the Senior Management Team and Board
of Directors.
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Job Title:
Urban Aftercare Manager
Responsible to:
Personal information removed
Location:
Edinburgh
Overall Purpose of the Job:
Growing Community Assets (GCA) provides financial assistance and advice to
community-led groups who wish to acquire and develop a wide range of assets
throughout urban and rural Scotland.
The HIE Consortium provides post-acquisition support (aftercare), either directly or
through the use of external service providers, to community-led organisations who
wish to develop their capacity to manage their assets, and undertake developments
which will create revenue or otherwise increase the benefits which the communities
gain through ownership of assets.
The Aftercare Manager (Urban Communities) is responsible for the delivery of the
aftercare service, for monitoring and evaluation of projects and for providing
progress reports to the Board of the HIE Consortium. He or she will also have
responsible for providing aftercare to a limited number of larger community
initiatives.
Relevant urban areas are defined as towns in the Scottish Enterprise National area
of Scotland, with populations greater than 10,000 people.
Main Duties: • management of aftercare, monitoring and evaluation of communities who have
been supported by Growing Community Assets in urban Scotland
• co-ordination of delivery of aftercare by HIE Consortium partners or external
contractors in urban Scotland to ensure consistency, suitability and best value
• development of aftercare services in urban areas to provide a pro-active service
aimed at enhancing community capacity to manage and develop assets in ways
which will maximise benefits to the communities and ensure the long-term
sustainability of their projects
• liaison with the HIE aftercare team to ensure consistency with the service
provided in the HIE area, and sharing of best practice
• design and management of research projects relevant to development of
community owned assets
• contributing to development of HIE Consortium policy
• the post-holder will be required to work closely with the Rural Aftercare
Manager based in Auchtertyre, Kyle of Lochalsh to ensure consistency and
quality of service, and sharing of best practice between the urban and rural
teams.
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APPENDIX VI – HIE NETWORK SERVICE CHARTER
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Document Outline
