BIG Lottery Fund
Grant to Addaction
State aid reference no: xxxx/xxx
1. Member State
United Kingdom
2. Region
England
3. Title of Aid Scheme
Addaction
4. UK legal basis
The powers of the BIG Lottery Fund to grant public funds under this scheme are contained in the following legislation:
National Lottery Act 1993 (as amended in 2006)
http://www.legislation.gov.uk/ukpga/1993/39/contents
5. EC legal basis
All aid provided under this Scheme will be within the limits set out in Article 31 of Commission Regulation (EC) 800/2008 (General Block Exemption Regulation)[1]
Summary information relating to the Scheme has been registered with the Commission under reference XXXX/XXXX
6. Definitions
In this Scheme, the following expressions have the meanings assigned below:
“SME” means an enterprise that falls within the criteria and parameters of the
definition of micro, small and medium-sized enterprises contained in the
Commission Recommendation of 6 May 2003 concerning the definition of micro,
small and medium-sized enterprises (2003/361/EC), which took effect on 1
January 2005[2]
"Industrial Research" means the planned research or critical investigation aimed at the acquisition of new knowledge and skills for developing new products, processes or services or for bringing about a significant improvement in existing products, processes or services. It comprises the creation of components parts to complex systems, which is necessary for the industrial research, notably for generic technology validation, to the exclusion of prototypes;
“Eligible Costs” shall be the following:
(a) personnel costs (researchers, technicians and other supporting staff to the extent employed on the research project);
(b) costs of instruments and equipment to the extent and for the period used for the research project; if such instruments and equipment are not used for their full life for the research project, only the depreciation costs corresponding to the life of the research project, as calculated on the basis of good accounting practice, shall be considered eligible;
(c) costs for buildings and land, to the extent and for the duration used for the research project; with regard to buildings, only the depreciation costs corresponding to the life of the research project, as calculated on the basis of good accounting practice shall be considered eligible; for land, costs of commercial transfer or actually incurred capital costs shall be eligible;
(d) cost of contractual research, technical knowledge and patents bought or licensed from outside sources at market prices, where the transaction has been carried out at arm’s length and there is no element of collusion involved, as well as costs of consultancy and equivalent services used exclusively for the research activity;
(e) additional overheads incurred directly as a result of the research project;
(f) other operating costs, including costs of materials, supplies and similar products incurred directly as a result of the research activity.
6. All eligible costs shall be allocated to a specific category of research and development.
7. Objective of the Scheme
The aim of the Scheme is to allow the BIG Lottery Fund to provide a singular grant to support Addaction’s £296,012 evaluation proposal which seeks to evidence whether social investment models are viable for interventions delivering multiple outcomes, across multiple locations supporting interventions for families affected by parental substance misuse, working across six local authorities, with learning being made available to 50 other local authorities.
The scheme will deliver the evaluation research undertaken by Warwick University to evidence whether social investment models are viable for interventions in supporting vulnerable families affected by parental substance abuse. This evaluation will demonstrate the extent to which cashable savings can be derived from different activities, interventions, methods and processes in multiple locations in six local authorities to break the cycle of drug and alcohol abuse amongst these families. The evaluation will track the experiences of 300 families.
The Scheme will align with the policy objectives of the BIG Lottery Fund and will, within the GBER rules for research related costs:-
· London based Addaction will deliver an evaluation to evidence whether social investment models are viable for interventions in supporting vulnerable families affected by parental substance abuse running from 28 November 2012 to the end of May 2014.
· In year one of the scheme £182,917 BIG funding will deliver the evaluation research undertaken by Warwick University, cover the costs of Addaction project staff to support the evaluation, provide for quarterly updates to local authority Chief Executives and project reports issued every six month. It will also meet overhead costs associated with the management and delivery of the evaluation.
· In year two of the scheme £40,440 BIG funding will provide resources to conclude work on the evaluation, disseminate the evaluation findings, including five learning events for wide dissemination to 50 local authorities in the final three months of the grant; and meet associated overhead costs to support the management and delivery of the evaluation.
· £53,827 of this award is made as de minimis aid under the De Minimis Aid Regulation. This will be used to fund non-research related costs. This funding will be delivered under the De Minimis Framework.
· A further £169,530 of the award from BIG by the end of year two will provide for up to 70% of research related costs of the scheme. Addaction will fund the 30% balance of each of these costs through funding obtained from non-state sources, namely £72,655 raised by Addaction and University of Warwick through third sector funds.
· Additionally, De Minimis funding from BIG has been explicitly forbidden from combined or contributed towards any costs that are being met under Article 31 of the General Block Exemption Regulation.
8. Government body authorised to implement the Scheme
The BIG Lottery Fund
9. Scope of the Scheme
The scheme will go directly to Addaction
10. Duration of the Scheme
The General Block Exemption Regulation funded budget over the period 28 November 2012 to 31 May 2014 is £169,530 which will be met from BIG Lottery Funding. The balance of the remaining 30% of eligible costs will be met by Addaction and University of Warwick from their own budgets and not from any other state sources.
11. Form of aid
All aid awarded under the Scheme will be transparent and in line with criteria set out in Article 31 of the General Block Exemption Regulation.
12. Eligible costs
The costs of the project shall be the research services provided by Addaction and the University of Warwick.
13. Aid intensities
The aid intensity shall not exceed 70% of eligible costs.
14. Incentive effect
Aid recipients must demonstrate that the aid is required for projects to proceed.
Funding will not be awarded where the activity has already started before an application for support is made.
15. Cumulation
Aid provided under this Scheme will not be cumulated with other forms of aid nor with aid classed as de minimis aid[3] in regard to the same eligible costs if the result would breach the aid intensities set out above.
16. Budget
The total expenditure from 28.11 2012 to 31.05 2014 will be in the region of £296.012, and will comprise a combination of domestic resources and European structural funds.
17. Monitoring and reporting requirements
All recipients of aid under the Scheme will be informed that aid has been provided under the Scheme, registered under X792/2009, pursuant to Articles 38 & 39 of Commission Regulation (EC) No 800/2008 (General Block Exemption Regulation).
Records will be kept for 10 years from the date of the last award of aid under the Scheme. Records will be sufficiently detailed to establish that the conditions of
the Scheme are met.
Contact information:
Legal Team
BIG Lottery Fund
1 Plough Place
London EC4A 1DE
United Kingdom
Tel: + 44 (0) 207 211 1800
Fax: +44 (0) 207 211 1750
[1] http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2008:214:0003:0047:EN:PDF
[2] http://europa.eu/eur-lex/pri/en/oj/dat/2003/l_124/l_12420030520en00360041.pdf
See also the New SME Definition User Guide and Model Declaration
http://ec.europa.eu/enterprise/enterprise_policy/sme_definition/sme_user_guide.pdf
[3] Aid fulfilling the conditions laid down in Commission Regulation (EC) No 1998/2006 on the application
of Articles 87 and 88 of the Treaty to de minimis aid.
http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2006:379:0005:0010:EN:PDF