Arts Council of Wales | Funding Application Help Notes Lottery Capital Programme: Major Capital Projects

Funding Application Help Notes Lottery Capital Programme: Major Capital Projects

Contents

Introduction

Section 1: About Your Organisation

Section 2: Your Project Proposal

Section 3: Building Details

Section 4: Project Details

Section 5: Declaration

Section 6: Attachments


Introduction

Welcome to our Funding Application Help Notes for the Capital Lottery Programme: Major Capital Projects. You can apply to this strand of the Capital Lottery Programme for funding towards significant construction projects.

Your project will already have completed its feasibility and design development stage, and you can now apply for funding towards the building and fitting out costs. If your project has not yet reached RIBA (Royal Institute of British Architects) Stage D, please contact the Arts Council for further advice.

The aim of these Notes is to help you complete your application online. We will explain how to apply online as well as providing a guide to the information you must tell us about your project.

We will also tell you why we are asking you for certain information and how we will use the information you give us.

On the online application form you will find a brief explanation about the information you need to provide in each section of the form. These Help Notes provide additional guidance on the detailed information you must tell us.

You will also need to submit supporting documents with your application. These Help Notes will also explain more about the documents we need from you, and how to do this online.

How to use the Help Notes

These Help Notes can be read as a "stand-alone" document or you can follow the hyperlinks as you fill in your form online to look at specific sections of the Notes. These should be read alongside the General Guide to the Arts Council of Wales Lottery Capital Programme, our Capital Strategy 2012-2017 and our Additional Guidance Notes: Major Capital Projects.

"Your Project" and "Project Outcomes"

Throughout these Notes we talk about "your project". We use this term to describe what you are applying to us for. For example, your project could be the purchase of new sound and lighting equipment for your theatre.

We also talk about "project outcomes". We use this term to describe what will happen if your application is successful and you go ahead with your project. For example, the project outcomes of purchasing new sound and lighting equipment could be the ability to stage more productions, which in turn could mean more earned income.

Applying online

We hope that you will find applying online straightforward. We are committed to being accessible and to offering ways of applying for funding that are open to everyone.

If you are unable to apply online, for example if you are disabled, or do not have access to a computer, please contact us. We will work with you to find other ways for you to apply. We can also support you if your first language is not English or Welsh.

When you are working on your application online, it is useful to remember:

  • You can complete your application in one go, or work on it at different times. You will be able to review and print what you’ve done so far, or to save your work and come back to it later
  • You can fill in the sections of the form in whichever order you prefer, but you will only be able to submit you application when all of the sections are complete
  • If you have your application form open on your computer, but you do not work on it for 2 hours, you will automatically be logged out of our online system. Any work that you haven’t saved will then be lost

You will need to talk to one of our officers before making an application. We will help you identify the right officer to talk to.

The Capital Lottery programme has no deadlines. As long as you have discussed your project with an officer you can submit your application at any time.

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1. About Your Organisation

In this section we ask you to tell us some basic information about your organisation.

Contact Details

We ask for three sets of contact details:

  • Your organisation’s address (its main administrative office or base)
  • The Chair of your Board or Management Committee (or your equivalent governing body)
  • The person in your organisation authorised to deal with all matters relating to this application (we call this the Primary Contact)

The Primary Contact is the person we will get in touch with regarding all aspects of your application, and they must have your organisation’s authority to sign and approve documents and answer any queries we may have.

If your application is successful, the offer of a grant will be sent to the Primary Contact. They will be responsible for sending us the progress reports we request, and a completion report once the project comes to an end.

We will only ask you to provide these contact details the first time you apply to us online. As you have already made an application to us, these details will already be filled in on your form for you to review and update if you need to.

Your Activity

We are often asked about the types of organisations we fund and what arts activity they deliver. The information you give here will help us answer these questions. It will also help us when we assess your application.

You can only write 500 words, so think about the key facts you want to tell us which sum up your organisation’s arts activity and the way you work.

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2. Your Project Proposal

Here we are asking you to tell us in detail about your project. Instead of asking you to answer lots of questions, we’d like you to write a proposal about your project.

We have identified 7 broad themes which all applications for Lottery Capital funding must address.

These themes are:

  • Meeting an identified need
  • Delivering a high quality project
  • Benefiting the public
  • Demonstrating your strengths and sustainability
  • Planning and managing a successful project
  • Funding a successful project
  • Managing risk

Each section of your proposal will be about one of these themes.

In each section you will need to tell us certain key facts about your project. You will also need to show us the extent to which your project addresses each of these themes. We will tell you below the information you must give us.

There is no limit on how much you can write and you must make sure that your proposal provides all of the information we ask you for.

Wherever you can, please provide us with evidence to support your proposal, for example testimonials, evidence of demand, and support for your project. You’ll also need to send us a project budget and information to support your project. Click here to read more about attachments.

Funding priorities

We use funding priorities to help us target our investment and to make choices between applications. We will only consider applications that fit strongly with our priorities.

You can read more about our funding priorities in the General Guide to the Arts Council of Wales Lottery Capital Programme and our Capital Strategy 2012-2017.

How we use your project proposal

We know that demand for our Lottery Capital funding will be high and that there will be good applications that we are unable to support.

We will make a decision on your application by looking at the information in your project proposal and considering how well you have addressed the broad themes we have identified. You can read more about the things we are looking for when we assess your application in the General Guide to the Arts Council of Wales Lottery Capital Programme.

When we make a decision on your application we will also consider how well your project meets our funding priorities.

Meeting an identified need

Tell us about your project and why it is needed.

In you project proposal, you should:

  • Describe your project. Tell us about the building and /or redevelopment / refurbishment work you want to do.
  • Tell us how your project fits with your organisation’s aims:
    • Why is it appropriate for your organisation to deliver this project?
    • How will it help you expand or improve what you already do?
  • Tell us how you know your project is needed:
    • What evidence of demand do you have?
    • Does your project form part of a wider strategic plan, for example a local authority led regeneration strategy or arts strategy?
    • How will it contribute to the national arts infrastructure?
  • Tell us why you think your project meets the need you have identified.

You may find that much of the information you have about the need for your project remains the same as it was when you made your application to us for design development funding. This is acceptable, but you must make sure you tell us of any changes or any further work you have done on this theme.

You must submit your Stage D design report and a full set of design drawings, as well as any technical specifications relating to your project. If you are purchasing equipment you must submit a full list of the items you want to buy.

You can also submit other documents that support your view that your project is needed. Click here to read about attachments.

We are looking for:

  • A clear description of a well-researched project
  • The extent to which you have shown the need for your project and how well your project meets the need you have identified
Delivering a high quality project

Tell us the vision for your project. What do you want to achieve? What steps will you take to make sure your project is fit for purpose and that it will be of high quality?

In you project proposal, you should:

  • Tell us the vision for and aims of your project. How did you agree on these?
  • Tell us how you will ensure you deliver a high quality project:
    • What steps have you taken to ensure that your project is well designed?
  • Show us that you have considered the functionality of your project:
    • Demonstrate how any building or redevelopment / refurbishment work is appropriate to its proposed usage, or "fit for purpose"
    • Tell us if your project will be making an innovative use of the space available to you
  • Show us how you have considered the needs of disabled people in the design of your project:
    • Tell us the key findings of your access audit and how you have implemented its recommendations in your project
  • Show us how you have considered the physical impact of your project:
    • If you are redeveloping or refurbishing an existing building, tell us how it integrates with the rest of your site
    • Tell us how you will ensure that any external works will integrate with other buildings and the environment around it
  • Tell us how you have considered the environmental impact of your project:
    • Show us how you are aiming to achieve a low waste / low carbon solution
    • Show us how you are aiming to minimise energy usage and maximise the use of renewable / more sustainable energy
    • Tell us how you will use sustainable materials
    • Tell us your approach to waste management and pollution, both during the construction phase and once your project is operational
    • Tell us how you have considered the travel and transport implications of your project
  • If you are purchasing equipment, tell us:
    • What research you have done to be sure that any equipment you want to buy is fit for purpose and will meet the need you have identified
    • What research you have done into the quality of the product you want to buy and its lifespan and maintenance costs
    • What research you have done to show that any equipment you have chosen to buy offers value for money
  • Tell us if there have been any changes to your project team since the completion of your design development phase (Stage D), and why you have made these changes
  • If you are making any more appointments to your project team at this stage, tell us:
    • The role and terms of the appointment
    • Why the appointment is needed
  • Tell us your proposed method of procurement for construction works and any equipment / goods. If you have already made these appointments, tell us why this is the case and the process you followed
  • Show us how you will meet all necessary Building Regulations and Health and Safety Regulations during the construction phase of your project

Any individual or organisation / contractor working on your project that will receive £5,000 or more will need to be appointed through a competitive tender process. If these appointments have already been made you will need to submit an appropriate tender report.

If you intend to purchase equipment which does not form part of the main contract for the project, you must submit three quotations from separate suppliers for all items or packages of items costing £2,500 or more.

If you want to purchase a package of items from one supplier that will cost £30,000 or more you should also submit a tender report that tells us why have chosen to use that supplier and why purchasing the equipment in this way is value for money.

We will want to see the sustainability assessment and the independent access audit that you completed as part of your design development phase. You must also provide us with your long term operational and maintenance policies which demonstrate that sustainability is embedded within your organisation’s working practices.

You can read more about our requirements for environmental sustainability, quality of design and construction and procurement in our Additional Guidance Notes: Major Capital Projects.

Click here to read more about submitting attachments.

We are looking for:

  • A clear, appropriate and achievable vision, that all of your project’s stakeholders agree upon
  • The extent to which you have shown that you will deliver a high quality project that will meet your vision
Benefiting the public

Tell us about the impact of your project (the project outcomes) and the benefits it will bring to the people of Wales.

In your project proposal, you should:

  • Tell us about your project outcomes. What will change if you are able to deliver this project? What do you hope the long-term impact of your project will be?
  • Tell us how your project will make a contribution to the arts sector in Wales. You should do this by showing how your project fits with our funding priorities for the Capital Lottery programme. You can read more about our funding priorities in the General Guide to the Arts Council of Wales Lottery Capital Programme and our Capital Strategy 2012-2017.
  • Describe the people who will benefit from your project and tell us how they will benefit. For example:
    • Will your project benefit the people who already enjoy the arts activity that you deliver, either as an audience member or participant?
    • Will your project help a wider audience enjoy the arts activity that you deliver, or encourage people to take part who may not have done so before?
    • Will your project help creative practitioners such as artists and craftspeople develop and present their work?
  • Tell us how your project will affect the quality and quantity of the work you do.
  • Tell us about your approach to working with artists and craftspeople in order to commission artwork(s) as part of your project.
  • Tell us how you will make the outcomes of your project as inclusive as possible by explaining how you have considered the needs of disabled people and other hard to reach groups.
  • Tell us how you will market the outcomes of your project to ensure the widest possible involvement with your arts activity.

You can read more about our requirements for working with artists and craftspeople in our Additional Guidance Notes: Major Capital Projects.

We are looking for:

  • A clear description of the proposed outcomes of your project
  • The extent to which you have shown us that the project outcomes you aim to deliver are achievable
  • The extent to which you have appropriately considered issues relating to access and Equalities
Demonstrating your strengths and sustainability

Tell us about your organisation and how it is managed. Show us that you have considered the financial impact of your project on your organisation.

In your project proposal you should:

  • Tell us about your management and staff structures, and how your organisation is governed.
    • What skills and experiences do your Board or Management Committee (or equivalent governing body) bring to the organisation?
  • Tell us about the organisational "health check" you have carried out:
    • Show us how you have reviewed the strength of your Board or Management Committee, and your staff and volunteers
    • Tell us how you are addressing any gaps you identified in the skills, experience and capacity needed to deliver your project
  • Show us that you have considered the impact of your project on your organisation’s capacity to deliver its usual activity:
    • Tell us the impact of any building closures required during the construction phase and how this will be managed
    • Tell us the impact of the construction phase on your artistic programme and how this will be managed
  • Show us that your organisation is financially robust and well managed.
  • Show us that you have considered fully the financial implications of your project:
    • Demonstrate that you are able to meet any new running costs, maintenance and lifecycle costs associated with your project on an annual basis. How have you calculated these costs?
    • Tell us if your financial assessments show that your project will have a positive effect on your organisation’s sustainability. For example, by generating income, cutting costs or enabling you to work in partnership with other organisations.
  • Tell is if your project will enable new initiatives to take place or will help you respond to new opportunities
  • Tell us if your project will help you maximise funding opportunities from other sources

You can read more about our requirements for carrying out a health check of your organisation in our Additional Guidance Notes: Major Capital Projects.

You must submit your current Business Plan to support this section of your project proposal. Click here to read more about attachments.

We are looking for:

  • The extent to which you have shown us that your organisation is well-managed and stable, and well-placed to take on a capital project
  • The extent to which you have shown us that your organisation is financially robust
  • The extent to which you have considered the financial impact your project may have on your organisation
Planning and managing a successful project

Tell us about your approach to the project. Tell us who will be responsible for its management and delivery and how you will keep the project on track.

In your project proposal you should:

  • Tell us how you will manage your project:
    • Who in your organisation has overall responsibility for its delivery?
    • Tell us about the dedicated project management group you must set up to oversee the project, and how it will be run.
    • If you have already appointed your independent project manager, tell us about them and their role, and how they were chosen. If you have not selected your project manager tell us the process you will follow to make this appointment.
    • How will you ensure that there is clarity of roles and responsibilities if you are delivering your project in partnership, or working with one or more contractor / supplier?
    • Tell us if you have any experience of delivering similar projects. What did you learn from these that you can apply to your project now?
  • Tell us how you will manage the commissioning of artworks for your project.
  • Tell us about your project timetable and show us it is achievable.
  • Tell us how you will keep your project on track:
    • How will you and your appointed project manager monitor your project budget?
    • How will you and your appointed project manager oversee your project team and contractor(s)?
    • How will you and your appointed project manager monitor your project’s progress and report this to your Board or Management Committee (or equivalent governing body)?
  • How will you know if your completed project has been successful?

You can read more about our requirements for carrying out a health check of your organisation and about independent project management in our Additional Guidance Notes: Major Capital Projects.

We are looking for:

  • The extent to which you have demonstrated that you can deliver and manage your project successfully, ensuring it is completed on time and within budget.
  • How well you have demonstrated that your project team has the required skills and experience.
Funding a successful project

Tell us about the project budget and the other funding you need to raise to be able to deliver your project.

In your project proposal you should:

  • Tell us about the other funding you need for your project:
    • Where will it come from?
    • Is it in place?
    • If not secured, tell us your approach to fundraising and demonstrate that it will be raised in time

You can read more about the costs we can and cannot pay for in the General Guide to the Arts Council of Wales Lottery Capital Programme.

You must submit your Stage D Cost Plan with your application.

We are looking for:

  • A project budget that is based on realistic assumptions and that is appropriate to the scale and type of project you are delivering
  • How successful you have been at fundraising and how likely it is that you will raise all of the required funds for your project, if you have not already done so.
Managing Risk

Tell us how you will identify, monitor and manage risks associated with your project

In your project proposal you should:

  • Tell us if you have already identified any risks
  • Tell us how you will identify and manage risk throughout the delivery of your project
  • Tell us who is responsible for managing risk and reporting this to your Board or Management Committee (or equivalent governing body)?

We are looking for:

  • A coherent and strategic approach to risk analysis and management.

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3. Building Details

In this section we ask you to tell us some basic information about the building which will benefit from your project, if it is an existing property. You must also show us that you have considered the statutory requirements which apply to your project.

Status of the building

It is important that you tell us about your lease. In order to be eligible for funding, your lease must have at least twenty five years remaining.

If the building is leased, you must have the landlord’s permission for your project. You must submit written confirmation of the landlord’s permission with your application, if applicable.

If the building is listed, you must tell us whether it is Grade II, Grade II* or Grade I. You should discuss your project with your local planning authority and / or CADW. You should tell us here about the outcome of these discussions. Any work which will change a listed building’s character needs to be given Listed Building Consent (LBC), before it can go ahead. Tell us here if you have received Listed Building Consent, or if you are awaiting a decision.

Structural Survey

Tell us if you have carried out a structural survey of your building during the planning and development of your project, and how its findings have affected your project.

If you do not think a structural survey is required for your project, tell us why.

You must submit a copy of your structural survey with your application form, if it is available.

Requirements

Planning Permission

Tell us if your project requires planning permission. Tell us whether you have made an application for outline or full planning permission, and when you are expecting a decision. If planning permission has been granted, tell us about any conditions attached.

You must submit a copy of your planning permission with your application form.

Asbestos

Under the Control of Asbestos Regulations 2012, (which replaced the Control of Asbestos at Work Regulations 2002), if you are responsible for maintenance of non-domestic premises, you have "duty to manage" the asbestos in them, to protect anyone using or working in the premises from the risks to health that exposure to asbestos causes.

If you want to do any building or maintenance work in premises, or on plant or equipment that might contain asbestos, you need to identify where it is and its type and condition; assess the risks, and manage and control these risks.

You should tell us how you will approach this "duty to manage" in relation to your project.

Further information can be found on the Health and Safety Executive’s website: http://www.hse.gov.uk/asbestos/regulations.htm

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4. Project Details

Here we are asking you to tell us some basic facts about your project. We use this information to help us monitor what’s happening across Wales and to report on the impact of our funding.

Project Dates

The start of your project should be when you expect to incur costs. For example, when purchasing equipment, the start of your project might be when you have to pay a deposit. We cannot fund any activity that has already taken place.

If we award you a grant, we will use these dates to request information from you such as progress and completion reports. If your project dates change, please tell us as soon as possible, and let us know why you have made these changes.

Art Form

Here we are asking you to tell us, using percentages, about the art forms associated with your project.

So if your project is purely related to dance (say the purchase of a portable dance floor), you should put 100% next to dance in the list given.

If your project involves more than one art form, you must estimate as best you can the proportion of different art forms it includes. For example, if your project is the purchase of new lighting equipment for a theatre, think about the programme you will deliver and tell us about the different art forms involved. Your answer may look something like this: drama 50%, music 40% theatre entertainment 10%.

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5. Declaration

In this section of the application form we’re asking you to read some important information about our responsibilities around Data Protection and Freedom of Information. It’s important that you understand how the information you submit will be used and stored by us. And you need to know what to do if you believe that any of your information is commercially sensitive or confidential.

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6. Attachments

This section of the form allows you to submit all your supporting documents, or attachments.

There are some attachments that you must submit as they form part of our assessment. We will not accept your application without them. These are:

  • Your project budget (this must be on our downloaded Project Budget Template)
  • Stage D Cost Plan
  • Stage D Design Report and full set of design drawings which have been signed off by your organisation
  • Technical specifications and a list of equipment to be purchased
  • Sustainability Assessment
  • Independent Access Audit
  • Operational and Maintenance Plans post completion
  • Project Management Group Terms of Reference
  • Construction Programme
  • Your annual accounts for the last two financial years
  • Your Business Plan

You can read more about completing your project budget and why we want to see your Business Plan below. You can read more about some of the other information required in our Additional Guidance Notes: Major Capital Projects.

You must also submit your Equal Opportunities Monitoring Form. As a public body we have to show that we are complying with the Equality Duty, which is a legal obligation which governs our work. We need to collect information to be able to measure how we are complying with this duty. The Equal Opportunities Monitoring Form helps us do this, but it does not form part of our assessment process and will not be seen by staff involved in assessing your application.

Your Project Budget

Your project budget must be submitted on our Project Budget Template.

The template will automatically calculate subtotals for you and help ensure your budget balances. You should complete the grey boxes on the spreadsheet, where appropriate. If some of the headings aren’t relevant to your project you can leave them blank. White boxes cannot be changed. Please use full £ only.

Your project budget should tell us how much your project will cost (expenditure) and how much you will receive to pay for it (income). The income and expenditure for your project should balance (be equal).

Your project budget is a summary of your Stage D Cost Plan, which you must submit with your application.

Project Expenditure

Use the template to tell us how much your project will cost. Use the headings given to show us the cost of all the items you will be paying for as part of your project. We know that all projects and Cost Plans are different, but the budget headings we use should be similar to those in your project’s Cost Plan.

We will use similar headings to monitor your project budget, so it is a good idea to become familiar with them at this stage.

The costs you include must be eligible. You can read more about the costs we can and cannot pay for in the General Guide to the Arts Council of Wales Lottery Capital Programme.

Building costs

Tell us the total cost of all of the building work. You should split this into enabling works and work covered by the main construction contract. Enabling works are building works that need to take place to enable a project to start, but which are not part of the project itself, for example constructing an entrance to the site.

If you intend to pay any contractor £5,000 or more, you will need to appoint them using a competitive selection process. We will check to make sure that you make any appointments appropriately and will expect to see tender reports in due course.

You can read more about our requirements for procurement in our Additional Guidance Notes: Major Capital Projects.

Professional Fees

Tell us about the professional fees you will need to pay. We have itemised the fees for your independent project manager and your design team. If you are paying other professional fees please tell us about these appointments in the "Planning and Managing a Successful Project" section of your project proposal.

If you intend to pay any individual or organisation £5,000 or more, you will need to appoint them by using a competitive selection process. We will check to make sure that you make any appointments appropriately.

Fit Out Costs

Fit out costs are usually items such as equipment and loose furniture which are being purchased outside of the main contract.

Public Art

We require that at least 1% of the full cost of your project is included in your project budget for the commissioning of artwork(s).

Value of support in kind

This can include the work of an unpaid volunteer, and the donation of land, buildings or equipment. We do not accept discounts given by suppliers as an in-kind contribution to your project.

You should submit a letter with your application which confirms the in-kind support and shows the value of the goods or services being given.

VAT

If you are not registered for VAT you should include VAT in your project budget.

If you are registered for VAT, your project budget should only include VAT that you cannot claim back (called "irrecoverable VAT"). Tell us how you have calculated the amount of irrecoverable VAT you have included in your project budget.

Contingency

We recommend a contingency of 10% of the project cost.

Other costs

Tell us any other costs you will have to pay as part of your project that are not covered by the other budget headings.

Project Income

Use the template to tell us about the income you will use to pay for the project. You should tell us the name of each funding partner, and whether their contribution is confirmed or being applied for.

Other Public Funding

Tell us here about any grants from public organisations such as the Welsh Government or the European Union.

Support in kind

This should be the same as any in-kind cost you included in your project expenditure figures.

Other Income

Tell us here about any other income you will use to pay for the cost of your project. This can include:

  • Your own funds (although if you are one of our Revenue Funded Organisations this cannot come from you revenue grant)
  • Income from fundraising, public appeals and donations
  • Grants from other Lottery Distributors
  • Grants from other trusts and foundations
Your Business Plan

You must submit a copy of your current business plan.

Your business plan will help us find out more about your organisation and the work you do. It will show us that you have considered the financial implications and whole life costs of your project, and should show us that you are financially stable before you project starts, and that you will remain so once your project is completed.

Other Supporting Information

We know that capital projects are complex, and different types of projects will need to tell us different pieces of information. You may find that you need to submit some of the following documents to support your application:

  • Tender report(s)
  • Suppliers’ / contractors’ quotations
  • CVs of project team, unless previously submitted
  • Independent Project Manager’s job description
  • Fundraising Strategy
  • Evidence of partnership funding secured to date
  • Letters confirming any in-kind support
  • Evidence of demand for your project
  • A structural survey
  • An asbestos survey
  • Planning permission documents
  • Listed Building Consent
  • Permission from landlord for your project to go ahead

If you are unsure what information you need to submit with your application, please check with us. If some of this information is not yet available, we may request it as a condition of our grant to you.

You may also want to submit examples of your creative work or other similar projects you have completed.

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