SCOTTISH ARCHIVES DEVELOPMENT PROGRAMME
GRANTS SCHEME
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This ROAME Statement sets out: the Rationale and Objectives, procedures for
project Appraisal; and arrangements for Monitoring progress and for Evaluation of a
scheme for funding activities which will contribute to the development of public
sector archives. It establishes the justification for the scheme and links it to the need
for improved standards. The statement assumes an annual grant of £250,000 and sets
the priorities for the three years from 2007/2008, which would give sufficient time
and investment to enable substantial improvement within the sector.
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Rationale
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Archives have a key role to play in the new cultural landscape in Scotland.
They provide the bedrock for our understanding of the past, showing us – and
future generations- how we come to be what we are as a nation, a community
or an individual. The aim of the scheme is to fund value-added, development
activity to enable the sector to play its full part in the new emerging cultural
strategy for Scotland.
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Public sector archives require specific help to build capacity, to enable them to
realise their full potential, to contribute to key Scottish Executive agendas,
such as promoting access to Scotland’s cultural heritage; encouraging
community and personal identity; social inclusion, education and learning;
economic development. The scheme will focus on key priorities and will
reflect areas where added investment can make a real difference.
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The current archives legislation covering public sector bodies does not define
the proper arrangements to be made for the preservation and management of
their records. New definitions of proper arrangements are currently being
devised by the NAS. In addition we are looking to adapt the Self Assessment
Toolkit which has recently been piloted in England and Wales, to benchmark
services against the UK National Standard for Record Repositories. By using
these developing archives standards and performance indicators to quality
assure the process, the scheme should be a conduit for improving standards
within the sector.
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Objectives
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The scheme will not fund any activity which constitutes the core activity of
the service. The primary objective is rather to provide additional funding to
support and develop public sector archives, enabling them to improve
standards and levels of provision, and thereby contributing to the overall
effectiveness of the sector.
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The programme will have two strands: a Main Grants Scheme (£5,000£50,000) and a Small Grants Scheme (£500-£2,000), which will be used to
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provide investment funding in projects which will increase and improve access
to archives; raise standard of care for archives; encourage innovation; and
facilitate partnerships.
3.1 The Main Grants Scheme will provide funding for larger, more ambitious
projects that benefits eligible archives services. Funding is provided for up
to 85% of the total project cost, excluding VAT. Matching finding must be
financial. Main grants will be offered for the following categories:
Objective - Development & Innovation
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Undertaking strategic research, such as an options appraisal or
feasibility study for a capital project
Audience development work, such as market research or the
preparation of an audience development plan
Marketing: activities or resources that contribute to the marketing of
the applicant archive service. Applicants should be able to prove the
rationale for pursuing a particular project, e.g. a recommendation in an
audience development plan
Innovative developmental projects: projects must be innovative to the
applicant archive service and represent genuine service development
Objective – Stewardship of Collections
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The purchase of specialist equipment or packaging. Applicants should
prove that the equipment or packaging is specialist and that it does not
form part of the core activity of the archive service
Undertaking specialist preservation or conservation work.
Applicants should:
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demonstrate the significance and value of the collection(s)
specify the benefits derived by users from access to the
collection(s)
identify the reason for choosing the collection(s); for example,
linking the project into the conservation priorities of the archive
service
Objective - Developing Capacity in Learning and Resource Discovery
Subsidised Posts:
The scheme will subsidise new long-term posts to carry out non core
activities, where a local and strategic need can be identified. There will need
to be a commitment for the post to become permanent. Failure to comply with
this undertaking will require the funding to be returned in full. The funds will
require a level of financial commitment by the employer which must be
demonstrated from the outset. The level of grant aid may be awarded either
on a tapering basis i.e. 70/50/30% for a three-year subsidy or 50% in each of
the years.
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The following are identified as priorities:
 Posts which support any of the following 3 areas: Learning, Education and
Access (i.e. audience development) where the appointment will assist in
the development and/or delivery of an education, learning and/or access
policy, will work towards compliance with Standard for Access to
Archives, will extend the services/activities of the service and will support
innovation
 Conservation posts where the appointment will enable the archive service
to develop and/or implement a preservation strategy and work towards
compliance with BS5454 and the National Archives Framework of
Standards.
 Cataloguing posts where the appointment will enable the cataloguing of
major, un-catalogued collections. Applicants should demonstrate the
significance and value of the collection(s), the benefits derived from
cataloguing it/them and the reason for selecting this collection(s) e.g. as
part of the archive service’s forward plan or as an identified priority for
cataloguing following a survey of un-catalogued collections
Project posts – finite appointments should address a specific need.
Support can be given to projects that involve short-term contract costs,
particularly in the following categories: learning, education, access,
cataloguing, or conservation
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No archive will be allowed more than one assisted post at any one time
Archives must allow 12 months between completing one assisted post (the
grant aided period) and applying for further posts.
In each instance, the applicant should clearly demonstrate the reason for the
application, prove the need to undertake the work, demonstrate the benefit
from undertaking the work and indicate how the work will be evaluated and
progressed following the completion of the project.
3.2 The Small Grants Scheme will offer grants of between £500 and £2,000.
Grants can be offered up to 100% of the total project cost, excluding VAT.
Grants will be offered in the following areas:
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Undertaking the National Preservation Office’s Preservation
Assessment Survey, as part of the first step in developing an overall
conservation/preservation strategy for the archive service
Project planning grant in respect of projects eligible for main grant
Marketing
Leadership programmes
Training
Conference bursaries. Successful applicants for conference bursaries
will be required to submit a conference report. Priority for conference
bursaries will be given to first time attendees
Arranging and holding workshops, seminars and events
Purchase of equipment
Purchase of specialist packaging
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Undertaking specialist preservation or conservation work
Preparation of specialist resources for users
Project Appraisal
The allocation of funding will be determined by a project’s ability to deliver
measurable and effective quality improvement. A Grants Panel will be
appointed by the SCA to assess the applications, which will be judged against
the following criteria:
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the project’s fit against the vision, aims and objectives of the scheme
compliance with relevant standards and best practice
how the project will contribute to the archive service’s strategic forward
planning
the feasibility of the project and the ability of the applicant to demonstrate
measurable impact on the quality of services
whether the project represents good value for money
level of grant requested (also taking account of annual budget)
evidence of successful completion of earlier projects (including
administration)
the merits of partnership applications
the needs of smaller archives services
equitable allocation across the sectors
Monitoring
5.1
The SCA will be responsible for monitoring both individual projects and the
overall scheme.
5.2
In terms of the individual projects, the SCA will be responsible for:
 managing the decision-making process (Grants Panel )
 ensuring that the funded projects meet objectives
 ensuring that progress is reported and the results of projects are disseminated
to a wide audience
 monitoring expenditure, ensuring projects are within agreed budgets and
recalling funding if objectives are not met
 developing project proposal (with agreed timelines and milestones), financial
reporting, project reporting forms
 monitoring through a nominated officer and taking place at intervals agreed
for each project, but not less than six-monthly intervals
 full summary of all projects on an annual basis
5.3
The SCA will monitor progress of the scheme on a regular basis. An annual
report will be compiled, detailing:
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number of archives services who have submitted projects
number of projects accepted/rejected and summary of each, including funding
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total funding allocated
comments on the process and implementation of the scheme and any
constraints to implementation
details of seminars/ proposed seminars
progress towards overall objective
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Evaluation
5.1
Formal evaluations will be carried out for each project by the relevant archives
service and submitted to SCA for scrutiny and acceptance within three months
of the completion date of the funded project. SCA may measure impact over a
longer period following the funding to capture sustainability issues. External
evaluation by others may take place in some circumstances where there are
concerns or lessons to be learned about the impact and success. The project
evaluation reports will cover:
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5.2
the extent to which the funded project has achieved its objective/s
the effectiveness of the funded project at delivering measurable outcomes
an assessment of the quality of the project and impact of the project
additional findings or secondary outcomes which can be usefully shared
recommendations for SCA, the Scottish Executive and public archives
services
The SCA will be responsible for evaluating the overall effect of the scheme
against the objectives detailed in the rationale. The evaluation will include an
analysis of the impact of the funding with respect to the original aims and
objectives, an account of the total resources deployed, and a judgement on the
value for money of the scheme. The evaluation will look at the following:
 evidence of measurable quantative and qualitive improvements
 appropriateness and alternatives – the suitability of the scheme for achieving
its goals, and the relevance of the scheme to current policy needs and future
policy concerns.
 the process and implementation the scheme and any constraints to
implementation.
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