PERFORMANCE STANDARDS FUND

APPLICATION FORM FOR LARGE PROJECT

OR CAPITAL PROJECT

Am I using the right form?

You should use the large project application form where the total funding you (and any consortia partners) are seeking from DWP for that project is £150k or more.

You should also use the large project application form where the funding being sought is less than £150k, but the capital element of grant aid you are seeking exceeds £20k. This is the case even if you are paying for a capital project in instalments – for instance in the form of a service contract rather than upfront purchase. This is because the large project application form is more suitable for capital projects.

You should use the small project application form for projects under £150k which are largely revenue based – for instance recruitment and training projects.

If you are in doubt about which form to use, please contact us at the earliest opportunity.

Completing the form

Before completing the application form you should refer to the bidding guidance.

We have designed the form to allow you to complete it electronically in Microsoft Word. The fields we want you to complete are shaded on screen, sometimes with default text that you can overtype. If the answer to any question is not applicable, please leave it blank and move onto the next question.

If you have further information you wish to provide please include this as an annex. If you need any help competing this form please contact

If you have existing documents that refer to the recruitment and retention of staff, improvement plans and funding, you can answer the questions briefly and send us the original documents as long they cover the subjects raised in the form.

How the form is structured

This form is divided into two Sections. You need to complete both Sections:

-  SECTION 1 – ABOUT YOUR PROJECT Fill in a separate Section 1 for each project for which you are applying for funding. As a rule of thumb, if part of the work you are applying for funding for could go ahead without the other parts, then you should fill in a separate Section 1.

SECTION 2 – ABOUT YOUR AUTHORITY If your bid involves several authorities who are partners in the bid, then each authority should fill in a separate Section 2, explaining each authority’s current performance and proposed improvements. If your authority is submitting bids for several projects, then you can simply include the same completed Section 2 for your authority with each project application. Section 2 is the same whether you are applying for a large or a small project. It is provided as a separate Word document.


SECTION 1 – ABOUT YOUR PROJECT

For large or capital projects, as explained on covering page.

1.1  BASIC INFORMATION

AUTHORITY NAME: if bid is for more than one authority, state lead authority

Overtype to insert name of lead authority

PROJECT TITLE

Insert title of project

PROJECT CATEGORY: Please insert a Y in all boxes that apply.

This project will:

1)  Replace our existing software to:
Improve basic claims processing
Improve overpayment management and recovery
Improve management and performance information
Provide a better customer service
Support training provision
Other, please overtype
2)  Buy-in extra software to:
Improve basic claims processing
Improve overpayment management and recovery
Improve management and performance information
Provide a better customer service
Support training provision
Other, please overtype
3)  Purchase Document Management Systems that include:
Introducing DIP only
Introducing DIP and workflow management
Providing benefit assessors with monitors and other relevant hardware to use DIP
Local or portable scanners
4)  Introduce a call centre or other call management system
5)  Upgrade
6)  Other, please overtype

1.2  PROJECT COSTS

2002-3
£ 000. / 2003-4
£ 000. / 2004-5
£ 000. / 2005-6
£ 000.
a)  Funding sought from DWP
b)  LA contribution to costs (Insert name of each authority and break down contribution of each LA)
LA1
LA2
LA3
LA4
c)  Other contributions e.g. from third party, or cost savings
Total Project Costs (must equal a+b+c)

1.3  PROJECT PARTNERS

List project partners below, with named contact details. This should include any identified project partners with named contact details and status of agreement. It should include private sector partners/suppliers where they have been identified.

Local Authority partners

Name of LA / Involvement Definite/ Provisionally committed/ Possible / Contact name: / E-mail address: / Phone number

Private sector partners or suppliers

Name of organisation / Involvement Definite/ Provisionally committed/ Possible / Contact name / E-mail address / Phone number

1.4  HOW THE PROJECT WILL WORK

1.4.1  The strategic case – does your LA need this project?

A short overview

Summarise “why has the project been set up?” and what does it include?” you should Include:

·  Current problem

·  Why we need to implement this change

·  Wider, cross Local Authority issues and links to corporate strategies.

The project aims and objectives

Outline the strategic aim and objectives of the project. Which Performance Standards will the proposed project help you meet?

Stakeholders

A concise summary of the approach used in identifying the project’s key stakeholders within the LA. Highlight key stakeholders and their area of involvement. List all the main stakeholders, including external stakeholders.

Constraints

Known or possible constraints that will affect the project. For example:

·  Dependencies and inter-relationships between the project and its stakeholders/partners/suppliers/customers

·  Time constraints in terms of dependencies on others to meet deadlines or for the project to meet deadlines set by projects elsewhere.

·  The consequence of not having a full picture of IT needs or solutions

·  Any political constraints and/or constraints imposed by DWP targets and controls

1.4.2  The overview economic case – Why is this the right approach?

Option appraisal

Generate all options including do nothing, include:

·  Order options and shortlist those most likely to deliver the objectives

·  High level indicative costs of each option

·  High level view of benefits, financial and non – financial

·  Assumptions underpinning costs and benefits summarised in main text

·  A high level view of the risks of each option

·  Key selection criteria and time-scales

·  A SWOT (Strengths, weaknesses, opportunities, and threats) analysis against each option meeting the business needs, which should result in a preferred option.

Risks

The management of the risks should be included in the Project Management Section.

However, the consideration of the level of risk (impact & likelihood of occurring) is a deciding factor in choosing a preferred option and is, therefore relevant to this section. For the preferred option you will need to highlight the main risks, impact, likelihood of occurring and countermeasures and contingency plans the project has put in place.

1.4.3  The detailed financial case – What are the costs and benefits?

Costs of preferred option

A view of the likely overall end to end cost and return of the project. Breakdown these costs. Report on funding availability, whether the LA and third party contributions have been secured.

Benefits Realisation

High level report on the benefits expected from the project and when these will accrue. Set out, at high level, who will be responsible for measuring and reporting the benefits expected from the project and any negative impacts that may occur as a result of the project. Fill in detailed outputs in the separate section at 1.5.

1.4.4  The practical case – how will the project work?

Project set up

Describe the management structure and report the main individual responsibilities and what lines of communication with stakeholders and dependants have been established. You will need to describe the project management. Identify the:

·  Senior responsible official

·  The project board

·  Project Manager

Implementation

Report the current project plan. Explain clearly what stages of the project need to be completed before you can move on the next stage. Attach a copy of the high level project plan as an annex.

Risk Management

Provide a brief description of the arrangements for identifying and managing risk, ie the risk management strategy. Include the reporting arrangements and the procedures for referring issues to senior officers.

Contingency planning

Include a short description of the process established to agree changes that may need to be made to the project.

Reviews

Provide a brief overview of the reviews to which the project will be subject to during its lifecycle, for example end of stage reviews, peer reviews, project evaluation review.

Potential for outsourcing

What elements of the project will be provided in house and what will be outsourced? Has the LA fully considered potential for outsourcing and possible benefits in cost deliverability or effectiveness?

1.5  OUTPUTS OF PROJECT

In assessing your bid we will be concerned with the concrete objectives the project will deliver and whether these are sufficiently challenging to justify special funding, and constitute value for money. For large projects you may want to provide key milestones, benefits and outputs at different stages of the project. Please state outputs as clearly as possible. Outputs will depend on the project.

OUTPUT / DATE TO BE ACHIEVED

These outputs should link to the overall targets in your LA improvement plan (see SECTION 2).

1.6  STATEMENT BY BENEFITS MANAGER

We want to ensure, so far as possible, that if we give an authority funding to improve its performance, the local authority will not spend this funding in a way which reduces performance in other LAs. We will not therefore provide direct funding for LA recruitment of experienced HB managers and assessors except in exceptional circumstances– (see paragraph 5.3 of the bidding guidance for advice on when we may give permission).

I understand that DWP will not normally fund the cost of recruiting or training staff who already work in housing benefits in another authority. I am not seeking funding for such costs unless I have clearly stated so in this application.

I undertake not to use performance standards funding for this purpose without prior permission of DWP.

I confirm that I will report briefly on progress in delivering this project during the funding period and at the end of the funding period, as required by DWP.

I undertake to report promptly likely underspend or failure to deliver the project, to allow funds to be reallocated to another authority.

I confirm that I am seeking funding/ have a commitment to funding (delete as appropriate) the LA contribution to this project.

I confirm that if I am unable to obtain LA contributory funding to allow this project to go ahead in full, I will return to DWP their contribution to the project.

I confirm that the statements in Section 1 of the application form are true.

Signature of Benefits Manager: ......

Where bid is for more than one authority, this should be the signature of the benefits manager in the lead authority.

Full Name:

Position:

Date:

Contact details: If DWP wish to discuss this application with the authority or obtain more information, who should they contact?

Name:

Position:

Phone number: E-mail address:

1.7  STATEMENT BY RESPONSIBLE FINANCE OFFICER

I support the statements of the Benefits Manager made here.

We are taking the necessary action to obtain our (and any other local authority or third party) contribution to these costs as set out in the application form.

Signature of Responsible Finance Officer………………………….

This should be the signature of the officer responsible, pursuant to Section 151 of the Local Government Act 1972 in England and Wales or Section 95 of the Local Government (Scotland) Act 1973.

Name………………………………..

Where bid is for more than one authority, this should be the signature of the Responsible Finance Officer in the lead authority.

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