SECTION 10 ANNUAL FUNDING SCHEME – GUIDANCE FOR APPLICANTS

Contents

INTRODUCTION AND TYPES OF FUNDING

Core Funding

Project Funding

Capital Grants

Loans

3 Year Development Plans

Preparation

Form S103

Deadline and Acknowledgements

SCOTTISH GOVERNMENT’S KEY PRIORITIES FOR COMMUNITY CARE

ENQUIRY POINTS

GOOD PRACTICE

ASSESSMENT AND SELECTION OF APPLICATIONS

General

Core Funding

Introduction

Preparation Of Your Development Plan - Core Funding

Consultations

Project Funding

Monitoring Of Organisational Activities

Performance Monitoring

Feedback from Users

Visits to organisations

Evaluation

In Depth Reviews

ANNEX A

3 YEAR DEVELOPMENT PLAN TEMPLATE

PART 1

Overall core grant applied for from Scottish Government

Organisational Aim

Organisational Objectives

PART 2

Organisational Objective One

Identify the main Scottish Government strategic objectives

Targets for this objective

Spending profile for this objective

Key outputs for this activity/objective

What outcomes are expected for this activity/objective

Monitoring arrangements for this objective

Evaluation arrangements for this objective

Reporting arrangements for this objective

INTRODUCTION AND TYPES OF FUNDING

  1. These notes are intended to supplement the basic Scottish Government application pack, and to familiarise applicants with the processes and requirements which are specific to Section10.
  1. The aim of the Section10 grant scheme is to assist voluntary organisations in developing social work services and promoting social welfare in Scotland. Both revenue and capital grants may be provided. Revenue grants will be available both as core funding and as project grants. Project and core funding is awarded for Section 10 grants according to the contribution that the funding will make towardsachieving the Scottish Government’s key outcomes.
  1. The Scottish Government takes the view that voluntary organisations should not beoverdependent on public funds and should preserve their independence. It is important that organisations seek alternative sources of assistance for their work and limit the amount and, wherever possible, the duration of any grant under Section10. Where organisations have the ability to finance their activities from other sources, either partially or wholly, the expectation is that they will do so unless there are strong and legitimate reasons otherwise.

Core Funding

  1. Core funding is provided to bodies which supply specialist services to a particular client group or groups, and to intermediary bodies which represent or provide general services to the voluntary sector.
  1. Core grants may be made to assist with the central administrative and other costs of national bodies whose activities constitute or include:
  • Providing community care services direct toclient groups;
  • Developing or sustaining the provision of such services by other organisations;
  • Representing voluntary sector concerns in relation to community care issues;
  • Representing the interest of persons in need of social work services;
  • Promoting or sustaining general welfare objectives; and
  • Promoting voluntary social work activity and volunteering.
  1. Funding is normally provided for either a 1-year or 3year period, subject to satisfactory performance during this period and compliance with grant conditions. Core grant funding may be renewed if an organisation has operated effectively during the preceding grant period, is continuing to contribute to the achievement of the Government's priorities, and if it’s financial position, as examined through occasional due diligence examinations, still warrants payment of the grant.

Project Funding

  1. Project funding may be provided for new national projects designed by voluntary organisations, which test an innovative idea of wide significance or which help to develop a particular pattern of service, and new local projects which are innovative and of potential national significance.
  1. Only on an exceptional basis will funding be made available for local service delivery organisations. (Public sector funding for local bodies would be expected to come from other agencies, such as local authorities, NHS boards, local enterprise bodies and some nondepartmental public bodies).
  1. Project grants are normally provided for a maximum period of 3years and are not renewable. The Scottish Government attaches great importance to the likelihood of other sources of funding being secured beyond the end of any period of funding under Section10. Grants are not available for existing projects whose funding from other sources has or will come to an end.

Capital Grants

  1. Grants for capital expenditure, when available, will be considered only where buildings or equipment are essential to the effective operation of an organisation or project, that deliver services as per the aforementioned parameters, and no other funding option appears to be available.

Loans

  1. Although permitted under Section10 of the 1968 Act, loans will only be offered in exceptional circumstances. Interest will be charged for the full period of any loan at public sector rates. Conditions will be attached to any loan made, according to the circumstances of each case, including an indemnity against default on the terms of the loan.

3 Year Development Plans

  1. In addition to the basic Scottish Government Direct Funding for the Voluntary Sector standard grant application form, the Section10 scheme requires organisations applying for core funding to submit a 3year development plan. Please refer to Annex A of these Notes for further guidance on the development plan.

Preparation

  1. It is recommended that the Scottish Government should be consulted at an early stage in the preparation of an application. This is particularly important where an experimental project is envisaged. It must be recognised, however, that such advice and help is offered without prejudice to the eventual outcome of the application.

Form S103

  1. Form S103 seeks additional information to that requested on the Standard Scottish Government Grant Application Form. It also helps us to ensure that your application is dealt with by the most appropriate individuals within our Directorate.
  1. The Scottish Government Direct Funding for the Voluntary Sector Standard Grant Application Form should be completed in as much detail as possible, be accompanied by supplementary information requested at the end of the form, along with any other relevant information.

Deadline and Acknowledgements

  1. If you decide to make an application, please complete and return by the deadline on the Section 10 website, Wednesday 30 November 2016 the following:
  • The completed Scottish Government Direct Funding For the Voluntary Sector Grant Application Form;
  • The completed Scottish Government Direct Funding For the Voluntary Sector Equality Monitoring Form;
  • The S103 Form indicating the main client group and type of funding requested;
  • Your organisations most recent audited accounts;
  • Your organisations most recent Annual Report;
  • Your organisations most recent newsletter – if applicable;
  • Your organisations development plan (if organisation is applying for core funding).
  1. Please note that applications received after the deadline will not be considered, nor will applications on forms other than those listed above.
  1. Applications will be acknowledged within 10 working days. Our aim is to inform applicants of the outcome of their application by no later than Friday 30 December 2016.
  1. Completed applications should be returned to or by post to:

Julie Crawford

Section 10

Area2ER

Scottish Government

St Andrew’s House

Regent Road

Edinburgh

EH1 3DG

  1. Where possible completed application forms should be sent electronically to the email address of Julie Crawford above, and additional paperwork submitted by post to the above postal address.

SCOTTISH GOVERNMENT’S KEY PRIORITIES FOR COMMUNITY CARE

  1. The Scottish Government has set out a single over-arching Purpose:

To focus Government and public services on creating a more successful country,

with opportunities for all of Scotland to flourish, through increasing sustainable,

economic growth.

  1. That Purpose is underpinned by a range of 16 National Outcomes covering a range of issues. Progress towards those Outcomes will be measured using 55 National Indicators. Scotland’s performance against these Indicators are publicly reported every year. Full details of the system are at:
  1. This system is not focussed around specific public services but rather on the outcomes which those services can achieve. It does not look at inputs, processes or outputs,only results.
  1. The Community Care Section 10 Annual Grant Scheme is aimed at voluntary sector providers of specific services. It will therefore be important for applicants to demonstrate in their application how their organisation’s activities will contribute to progress towards one or more of the National Outcomes, ideally by shifting one or more of the National Indicators in a favourable direction.
  1. Applicants are urged to consider the wider impact of their work, and not confine their thinking only to the Outcomes and Indicators which are directly about what they do or provide. Many activities have an impact beyond that which is primarily intended. Applicants should seek to capture that within the total framework of the Outcomes and Indicators.
  1. Subject to this over-arching set of priorities, the priorities for adult community care grants in 2016-17 are set out below. Priority will be given to applications from organisations that promote or provide:
  • person-centred and outcomes focused community care services;
  • collaboration and joint working amongst and within agencies and organisations to improve outcomes for service users;
  • good mental health and well-being;
  • attention and support for those with dementia, their families and other carers;
  • help and support so that people can live independently in the community, and improve quality of life;
  • support for carers and young carers;
  • co-production with users and carers in assessment and support planning as well as in the planning, development and delivery of services;
  • advice, advocacy, user led support, counselling and information services in relation to community care
  • community capacity building.

ENQUIRY POINTS

  1. Enquiry points for each area of work are as follows:

Mental Health (Adults)

Ewen Cameron, Mental Health Division,

3ER, St Andrew’s House0131 244 2787

Learning Disabilities and Autism

Pauline MacDonald, Care, Support, and Rights Division

2ER, St Andrew’s House0131 244 4749

Sensory Impairment

Heather Palmer, Care, Support, and Rights Division

2ER, St Andrew’s House0131 244 5455

Adult Survivors

Julie Muir, SurvivorsScotland

2ER, St Andrew’s House0131 244 3633

Self Directed Care

Mairi Cameron, Self-Directed Support – Direct Payments

2ER, St Andrew’s House0131 244 2453

Carers(including young carers and respite)

Julie Webster, 0131 244 5488

or

Peggy Winford

Care, Support, and Rights Division,

2ER, St Andrew’s House0131 244 4778

Care at Home for Older People

Kay Robinson, Integration and Reshaping Care Division,

GE-18, St Andrew’s House0131 244 3624

General Enquiries

Mark Collins, Patient Support and Participation Team,

2ER, St Andrew’s House0131 244 5050

GOOD PRACTICE

  1. The Scottish Government's 2000 publication 'The Scottish Compact’ set out a number of key directions for best practice in the monitoring and evaluation of grants. It states that the Scottish Government should:
  • Agree clear objectives and performance indicators, and establish specific outputs for grant-funded activities;
  • In the interests of proper accountability, ensure that all grant recipients make appropriate arrangements to monitor and evaluate the quality of their grantfunded work and to report at agreed intervals. Grant recipients should ensure that these requirements do not become an undue burden to the organisation and tailor the requirements to reflect the size of the grant and the resources of the organisation;
  • Ensure that the grant recipients have appropriate systems in place to obtain regular feedback from users or customers on the benefits/services provided by the grant recipients;
  • Agree a review of performance during the second year of 3year core grant to ascertain if the grant should be renewed and to provide feedback to funded organisations;
  • Follow best practice in monitoring publicly funded work and apply and promote Best Value processes in ways which secure equality of treatment for voluntary organisations.

ASSESSMENT AND SELECTION OF APPLICATIONS

General

  1. All applications for funding under Section10 will be assessed in the first instance against the following eligibility criteria:
  • The proposed activity must be in one (or more) of the priority areas as per the Scottish Government’s National Outcomes;
  • The aims and objectives of the project/organisation must be clearly stated;
  • Wherever possible, there should be no overlap or duplication with the activity of other organisations, or of Scottish Government funding;
  • Any potential alternative sources of funding must have been explored, and documented as having been done so;
  • There must be added value from the Section10 grant in terms of funding for the activity from other sources and/or volunteer effort.
  • The organisation/project must have adequate management and financial controls.
  • A feasible proposal for the continuation of the project or core business governance once Section10 funds ceases - i.e. an 'exit' strategy.

Core Funding

  1. The organisation mustsupplya3yeardevelopment plan with their application.
  1. In assessing applications, the Scottish Government may seek the views of individual local authorities, COSLA, or any other appropriate interest group. The Scottish Government places a high value on personal contact with organisations as part of the application process and officials would be happy to meet with organisations to discuss the merits of their draft application.
  1. While there is no maximum or minimum level of grant, Section10 funds are strictly limited and this therefore restricts the number and amount of applications that can be approved. Final decisions on grants will take account of the importance of the project or organisation in terms of current social work priorities and any other factors which may be relevant at the time of considering the application.

Project

  1. Local authority(ies) and/or other relevant agencies must have been consulted about the proposed project. Applicants must demonstrate a clear need for this work.
  1. If the application has been submitted in response to an invitation to tender it must comply with the terms laid down in the tendering procedure.

Conditions

  1. When a grant is awarded, organisations will be expected to agree to a number of conditions which may vary from grant to grant, depending on the purpose for which the grant is approved. Such conditions will cover, amongst other things, the need for organisations to have proper financial systems and cash flow in place, arrangements for monitoring the organisation’s activities, including the setting up of appropriate performance indicators, and a requirement to consult, as appropriate, with users of the organisation’s services etc.

SLIPPAGE

  1. If your organisation is successful in obtaining funding, grants paid per financial year must be spent within that financial year. In the event that a project or core activity results in an under spend, that money will be recovered by the Scottish Government and will not be carried forward. However, if a grant recipient anticipates such a scenario, they are free to approach the Government with an alternative use for this money, provided it is spent within the financial year.

DUE DILIGENCE

  1. It is now expected that organisations will submit to random due diligence checks that will provide evidenced assurance that organisations are able to safeguard Scottish Government funds for their intended use. As part of the exercise, we will assess your organisation’s current financial position, your governance and monitoring arrangements, and your vulnerability to fraud.
3 YEAR DEVELOPMENT PLAN, MONITORING AND EVALUATION

Introduction

  1. This section of the Guidance Notes aim to familiarise organisations with the Scottish Government's expectations in relation to the preparation of a 3 year development plan, the monitoring of your organisation’sactivities, and evaluations. It should set out what your organisation would intend to deliver until the end of the grant cycle, in terms of activities and outcomes, if your application for core funds was successful. Once you have prepared this document, which should be based on the attached template (Annex A), it should be returned with the standard Scottish Government application form.
  1. The 3 year development plan is not intended to list everything that you would aim to achieve over the funding period. It is intended to provide a selective list, identifying a limited number of key tasks and relating these to priority areas for service development in community care. It is designed to provide greater transparency and accountability over the uses to which Scottish Government funds would be put, and to provide funded organisations with a clearer understanding of what is expected of them. The standard application form asks for more general information while the development plans asks you to look in greater depth at how you would use the funds over the grant period, what differences you will make as a result of the funding received, and how you would measure those outcomes.
  1. If you have difficulty in preparing a development plan, or require clarification on what is appropriate for inclusion, contact the appropriate official mentioned in the application material.

Preparation Of Your Development Plan - Core Funding

  1. This section focuses on expectations for core-funded organisations.A separate section for project planning follows. Those engaging in project applications, however, may find this guidance to be of general assistance.
  1. A Development Plan should:
  • project the organisation's activities 3 years in advance;
  • provide a comprehensive context in which an application for grantaid can be judged;
  • contain specific objectives that can be easily monitored and evaluated, both internally and externally;
  • provide a relationship between expenditure on activities, those objectives, and the Scottish Government’s National Priorities and Outcomes.
  1. The Scottish Government anticipates that plans in one year might change in a successive year. The development plan is viewed as a likely framework for activity. A template for the completion of a 3year development plan is attached inAnnexA.
  1. If an organisation is successful in obtaining a grant, the 3year development plan will be formalised at this stage and agreed with the Scottish Government. The organisation should then establish what has become known as a rolling development plan.A plan will be rolled forward, in its entirety, with a fresh publication each year. Some organisations may be asked for a rolled forward plan on a 6monthly basis, depending on circumstances. Organisations should also seek prior agreement from the Scottish Government on an ad hoc basis for any significant changes to the objectives set out in the original, agreed plan.

Consultations