NWDA Output Definitions for Single Programme and
ERDF Programme
1.
Introduction
1.1
It is important that the monitoring of outputs is robust and consistent across
all projects and programmes. This document provides definitions for each
output and advice on when they should be counted.
1.2
Each output attempts to provide as much detail as possible about which
outputs can be counted and gives guidance on the type of verification
evidence that should be supplied.
1.3
Where possible the outputs have been made consistent across SP and
ERDF, however there are some that are relevant just for Single Programme
and some that are additional for ERDF and these are clearly shown. ERDF
also requires targets to be set at a results (outcome) level.
1.4
The Appendix provides a summary of some frequently asked questions.
2.
General Criteria
2.1
An activity can only be counted as contributing to an output if it fulfils the
following criteria:
a)
Definition – the activity must fall within the scope of activities defined
for the output.
b)
Direct – outputs must be a direct consequence of the NWDA funded
project. Subsequent or indirect outputs are defined as outcomes (SP)
or results (ERDF) and should be separately identified on Development
and Appraisal Forms.
c)
Counted in the current period – i.e. in the time period they are
delivered
2.2
Projects use outputs to measure the progress of the project activities.
Outputs therefore have to be capable of being forecast and delivered as part
of the project and are monitored and verified during the life of the project.
Outputs are a contractual commitment and should, therefore be realistic.
2.3
Projects may produce either a single output or multiple outputs depending on
the nature of the project. Outputs forecast and reported must be directly
related to project activity and linked clearly to project objectives.
2.4
Total outputs, for both the Single Programme and ERDF, will be recorded on
PMS and/or MCIS at contract, forecast and actual as the total gross figure.
However, to enable Single Programme outputs to be attributed to the share of
NWDA SP funding a new characteristic is available on PMS to allow the % of
NWDA to overall public funding to be entered and used to calculate the level
of output attribution.
2.5
Projects also generate outcomes/results – the consequences the project is
seeking to achieve as set out in its objectives. Outcomes are the results that
follow from the project activities as part of the logic chain, and so generally
follow after the project has completed and are gathered as part of the
evaluation. However, for ERDF some results may need to be forecast and
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counted during the lifetime of the project as part of the monitoring. The
relevant data and evidence should be set out in the monitoring and evaluation
plan so that it can be collected and assessed at the appropriate stage.
3.
Beneficiary Characteristics/Analysis
3.1
In addition to the basic output and result indicators the NWDA has selected a
range of requirements to provide a further level of analysis and evidential
detail on how the agency investment has been used and the benefits
achieved. Targets will be set for sectors and forecasts provided on PMS,
however, beneficiary analysis will be used for reporting and not for setting
targets. The analysis will be recorded on PMS. Each output definition shows
what analysis is appropriate to that output.
3.2
Beneficiary characteristics: Equality Monitoring – four categories are:
a)
Gender
- Male
- Female
b)
Disability
c)
Age
- 16-25
- 26-50
- 51-65
- over 65
d)
Race
- White
- Black or Black British
- Asian or Asia British
- Mixed Heritage
- Chinese
- Any other ethnic group
- Not stated
- Yes
- No
Disability is defined as a physical impairment or mental health condition which
has lasted, or is expected to last, at least 12 months and which has an
adverse effect on the individual's ability to carry out normal day-to-day
activities.
Please note: Although the NWDA is only recording these 6 categories
partners will be required to request information using the 16 census
categories, which will need to be aggregated for reporting output numbers to
the NWDA. Partners will be expected to store the full 16 category information
for use by the NWDA if required. The 16 categories are:
White
-
British
Irish
Other white background
Black or Black British
-
Caribbean
African
Other black background
Asian or Asia British
-
Indian
Pakistani
Bangladeshi
Other Asian background
Mixed Heritage
-
White and black Caribbean
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White and black African
White and Asian
Other mixed background
Chinese
Any other ethnic Group
3.3
Business Characteristics: Equality Monitoring
a)
Gender
b)
Disability
- Yes
- No
A disabled-led business is defined as a company, business or social
enterprise in which at least 51% of owners, partners or directors are disabled
people.
c)
Age
d)
Race
- Male
- Female
A female-led business is defined as a company, business or social enterprise
in which at least 51% of owners, partners or directors are female.
- 16-25
- 26-50
- 51-65
- over 65
For multi-owner businesses age categorisation will not be possible
- BME lead
- Non-BME lead
A BME-led business is defined as a company, business or social enterprise in
which at least 51% of owners, partners or directors are from a BME
background (defined as any category in list above other than White-British.
Please note: It has
support should be
monitoring data – i.e.
-
been decided that certain types of business and/or
excluded from the requirement to collect equality
very large multi-national businesses;
foreign owned companies
businesses assisted under universal support definition
3.4
When entering beneficiary characteristics for business into PMS, this should
be done against the type of business.
3.5
Sector Analysis:
a)
b)
Priority Sector or Employment Sector
Classify as ‘Other’ where it is not known or in other sector
Priority Sectors:
Biomedical
Energy
Advanced Engineering
Food
Digital
Business and Professional
Employment Sectors:
Maritime
Construction
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-
Visitor
Retail
Public
Health
Note: Businesses assisted under universal support definition do not need to
be analysed by sector.
4.
Monitoring and Verification
4.1
It is important that all data reported to NWDA is accurate and reliable. There
are a number of aspects of a project’s systems that need to be checked to
ensure monitoring reports are correct, and information will be available when
evaluation is undertaken.
a)
Data Collection Systems
 Are the appropriate output definitions understood and in use?
 Is all the necessary output data being collected?
 What systems are being used to collect data? Are they robust and
secure?
b)
Output Evidence
 What verification evidence is being collected?
 Is it acceptable in relation to types of evidence and authenticity?
 How is this information being stored?
 Is it easily accessible for checking?
 Have adequate consents been obtained from the individuals
concerned?
c)
Output Reporting
 Who completes and checks the Output Monitoring Return? Is it
the appropriate people?
 Are returns submitted on time with the appropriate information?
In reviewing the processes and systems for collection/storing and
reporting of data and information please note the requirements of Data
Protection at 4.3 below.
4.2
Article 13
With the responsibility for the delivery of ERDF being undertaken by the
Agency there are monitoring and evaluation functions required by the EU
under Article 13 of Regulation 1828/2006. This means there are specific
requirements to ensure there is a robust control environment to minimise
incorrect and un-supported reporting of achievement. In addition to the ongoing Contract Management and monitoring of partners, including the regular
Progress Monitoring Reports, there are 2 types of visits that are required:
Project Engagement Visit (PEV) – this must be undertaken by the Contract
Manager to all projects. The visit should take place following the agreement
and signing of the Offer Letter, ideally before the first claim/progress report is
completed by the partner organisation. The visit is to ensure that the team
delivering the project fully understand the requirements of the NWDA and the
ERDF programme and have in place adequate processes and systems (and
understand verification requirements for the outputs they are delivering). The
visit must be documented.
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Project Progress and Verification Visit (PAV) – is undertaken by the
Programme Office QA team, at least once during the life of the project, to
access progress against targets and to verify that any expenditure and
outputs claimed are correct and are supported by adequate auditable
evidence. The results of this visit must also be fully documented.
4.3
Data Protection
Data protection is becoming an increasing sensitive issue, so the Agency
must ensure it only requests information about individuals that it really needs
and that can be supported by a Business Case.
Information is a key asset and its proper use is fundamental to the delivery
and evaluation of programmes and projects. Where information is held on
individuals, companies or organisations they are entitled to expect that:
 their privacy will be protected, subject to Freedom of Information
requirements;
 information risks (confidentiality, integrity, availability, storage) will
be assessed and mitigated (including incident management) to an
acceptable level;
 the data will be protected, used and handled professionally and only
for the purposes it was collected
The verification evidence in the following output definition tables is that which
should be held by the delivery body. The delivery body is responsible for
collecting and storing the data on individual beneficiaries. Where outputs are
being reported through the Progress Monitoring Report to the RDA, whether
for Single Budget or ERDF, it is only necessary to provide aggregate numbers
not the information on individual beneficiaries. However, this means that
partner organisations need to ensure they have robust and secure
systems for protection of the data on individuals/business owners they
collect and they should ensure they obtain agreement that the
information can be made available to the Agency and other
auditors/consultants we may require to review the data, for example for
verification and evaluation purposes. The Grant Funding Agreement now
reflects these requirements and Agency staff working with Delivery partners
must ensure adequate processes and systems are in place.
Data Protection Act
The Data Protection Act protects the rights of people about whom data is
collected and processed. It is therefore important that the methodology
applied conforms to accepted standards.
When programmes and projects require the collection of data about a
beneficiary, the key principles below should be followed (but it should not be
construed as legal advice):
 Inform: provide information to the individual about why the information is
being collected, how it will be used and what will be done to protect
confidentiality. Where it is necessary to collect information individual
consent forms should be used, or where this is not practicable, individuals
should be informed that they may be contacted in the future to provide
feedback for verification or evaluation purposes (see example below).
 Confidentiality: when data is held on paper records it should be locked
away in a secure place e.g. a locked cupboard, when not in use. If the
records are to be held electronically they should be password protected.
When data is held and accessed on ICT systems access should be by
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authentication (user name, password and best commercial practice)
avoiding use of removable media e.g. laptops, CDs, USBs etc for storage
or access, where possible. On completion the material used to store
personal data should be subject to controlled disposal (incineration,
pulping, shredding, secure destruction, overwriting, or erasure).
 Voluntary: completion of equality monitoring forms by individuals is
voluntary though care should be taken that this is not overstated as it may
encourage non-returns. It is best practice to encourage individuals to
provide the information, by explaining the purpose and use of the data.
However, do not say or imply that providing the information is compulsory
i.e. it should not be a mandatory field in electronic forms. All completed
forms should be signed by the individual concerned.
 Self-classification: wherever possible, self-classification should be used
with individuals completing a declaration form. Only in exceptional
circumstances should beneficiaries be classified by another individual
(other classification).
CRE Guidance advises that if the individual
absolutely refuses to supply the information, their manager or some other
appropriate person should classify them according to what is already
known about the person. They should be notified of the classification and
given the opportunity to confirm or correct it. The record must show that
the information it contains was based on this ‘other classification’ method.
 Recording: if the beneficiary does not provide the information you should
record them as a nil response and in an unknown category.
Example
A large company is safeguarding 700 jobs as part of the
project. An agreement was reached that the company
would provide the NWDA with an anonymised list of the 700
jobs to be safeguarded as a baseline. The list would
contain the job title, salary band, site/department location
and start date of the occupant of the job. The company
itself would have the full list which identified the individuals
by name. At the end of the 12 month period the company’s
external auditors would undertake a random sample check
of the list and the individual beneficiaries chosen from the
list would be asked to consent to be interviewed. They
would then verify that those jobs still existed and were no
longer at risk. The Grant Funding Agreement also included
a requirement for a similar sampling exercise to be
undertaken by the appointed evaluators, when the project
evaluation was undertaken.
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Output indicators structure
SP and ERDF outputs
ERDF Results
CITN
Ref*
R1
Jobs created or safeguarded
R5
Individuals who gain
employment within 6 months of
intervention
R1 (a +
b)
05
R5 (a +
b)
06
R2
Businesses Created
R2
R3
Businesses improving their
performance
03 (a, c,
d + e)
R3
People
1
2
3
Jobs created or safeguarded (SP
only)
People helped to secure
employment, education or training
(SP/ERDF)
People assisted in their skills
development (SP/ERDF)
Business
4
4a
5
Businesses Created (SP only)
Business Creation – pre-start
assistance (ERDF only)
Businesses Assisted (SP/ERDF)
Finance
6
Public and private leverage
(SP/ERDF)
07
Place
7
8
9
Brownfield Land reclaimed,
redeveloped or regenerated
(SP/ERDF)
New or upgraded Floorspace (SP
only)
Public Realm created or improved
(SP)
04
R4
New or upgraded Floorspace
R4
Tourism/Marketing
10
11
Number of visitors attracted
(SP/ERDF)
Economic impact from major events
and tourism marketing (SP only)
n/a
R8
Visitor Spend
n/a
Sustainability
12
13
14
15
Tonnes of Carbon Dioxide
generated (SP/ERDF)
Environmental Businesses
Supported (ERDF only)
Environmental products Supported
(ERDF only)
Number of applications of Low
Carbon Technology (ERDF only)
n/a
n/a
n/a
n/a
* The Technical Note of Combined Indicators for RDA Single Budget and ERDF
Programme 2007-13 (CITN) is a national document, produced by OffPAT on behalf
of the RDAs and CLG (ERDF programme). The CITN references (in shaded column)
should be used in MCIS recording of outputs. For further information the NWOP
quantification document can be found on the ERDF website.
The CITN provides definitions for common core SP and ERDF outputs and results.
However, the Agency has developed this document and guidance for staff which
details its own interpretation of the outputs it wishes to collect, and there are some
differences. This document references ERDF exclusions and differences as
appropriate.
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1. Jobs created or safeguarded
PMS codes
JC – Jobs created
JS – Jobs safeguarded
Unit of
measurement
Number of jobs – counted as FTE (paid work for 30 hrs or more per week)
Part time jobs can be converted to FTE on a pro-rata basis or with the EC
approach – 2 part time jobs = 1 FTE where no other information is
available
Counted
Created: when a new permanent paid job is created and the post filled.
Safeguarded: when a permanent job is forecast as at risk but is no longer
at risk of being lost within one year
FDI and SPIE jobs can be counted after they have been delivered, but not
when they are only anticipated.
ERDF
requirements
Counted as results for ERDF:
R1a – jobs created
R1b jobs safeguarded
As a result they are counted where jobs follow on from a project
intervention resulting in the jobs being created or safeguarded.
Exclusions






Inputs to the project (For example staff who are employed to run the
project )
Construction jobs when they are required for the implementation or
delivery of a project (e.g. construction of premises), however where
construction refers to the sector in which the jobs are located (e.g.
created in the region as part of a cluster development project) then
the jobs can be counted.
Temporary jobs
Seasonal jobs where they are incidental to the operation, however if
the operation relies on seasonal jobs e.g. tourism they can be
included on a pro-rata basis – 3 month job = 0.25 FTE.
Refilling of jobs with different people, jobs can only be counted once.
Transferred jobs which are a result of a company moving either within
the region or from other English regions or UK devolved
administrations are not new jobs. These may be included a
safeguarded jobs but only where the relocation is part of a
rationalisation programme which will safeguard jobs by moving them.
Jobs created
New: Should not have existed in the Region or seasonal jobs with the
employer in the UK before the intervention and should be a direct result of
the intervention
Permanent: Should have a life expectancy of at least one year from the
point it was created
Jobs
safeguarded
Job must be permanent, paid and at risk of being lost within one year, the
jobs at risk must be specified, or if sector is in long term decline a longer
period may be appropriate (where the project is proposing to undertake
pre-emptive action)
Verification
Job created: Letter from employer (letterhead if possible with
name/address of company including post code/tel no.) confirming required
details (i.e. start date, permanent job, hours). Evidence of employment of
individual e.g. contract, pay slips, employment records + beneficiary data
and priority/employment sector.
Job safeguarded: Letter of confirmation from employer (letterhead if
possible with name/address of company including post code/tel no.)
stating why jobs were at risk and how project funding has prevented loss
+ beneficiary data and priority/employment sector.
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Analysis
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Beneficiary by:
 Gender
 Age
 Ethnicity
 Disability
Job by
 Priority sector/Employment Sector
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2. People helped to secure employment, education or training
PMS code
NEET – People helped (employment/education/training)
Unit of
measurement
1. Number of individuals who receive assistance
2. Number of individuals who have received assistance through the
project who actually secure employment, education or training
Counted
1. When an individual has received assistance that is aimed at helping to
secure employment, education or training.
2. When the individual secures relevant employment, education or
training (as defined below)
Individuals must be of working age (16 or over) unemployed, economically
inactive or in employment that is at risk
ERDF
requirements
If the subsequent securing of employment is achieved within 6 months
this may be able to be counted as a result – see R5
Exclusions
Individuals under age of 16 as still covered by statutory education
Assistance that is covered under Skills output or assistance for selfemployment (to avoid double counting with output 4).
Unemployed
Not in work but is actively seeking work ie in receipt of Job Seekers
Allowance/Income Support
Economically
inactive
Not in work and not actively seeking work eg non-working parent or
someone receiving Incapacity benefits
Employment ‘at
risk’
Someone in work, but at risk of losing their job eg under threat of
redundancy, on a short term/temporary contract, in seasonal work that is
coming to an end.
Assistance
The assistance must be directly helping people secure employment,
education or training.
Forms of assistance can included:
-
provision of information, advice and guidance – eg careers
advice, CV writing, interview training
removing barriers to getting back into the labour market – eg
return to work training, providing crèche facilities
Voluntary work/work experience
Employment
To count as secured, employment must be a minimum of 13 weeks and
can include
Self-employment
Full or part time working
Education
Knowledge and understanding acquired by a gradual process of learning
and instruction. To count as secured, the full course must be completed
or an accredited or non accredited qualification achieved.
Training
The acquisition of knowledge, skills and competencies as a result of the
teaching of vocational or practical skills. To count as secured, the full
course must be completed or an accredited or non accredited qualification
achieved.
Verification
Individual – name, Address incl. post code, date of birth, evidence of
being unemployed, economically inactive or in employment that is at risk +
beneficiary analysis data
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Assistance – evidence of type of assistance either from individual or
organisation providing the assistance
Employment – Letter from employer (letterhead if possible with
name/address of company including post code/tel no.) confirming required
details (i.e. start date, hours etc). Evidence of employment of individual
e.g. contract, pay slips, employment records.
Education – signed declaration by individual and educational
establishment outlining course and attendance record (ie length of course,
number of days, final qualification).
Training – signed declaration by individual and training establishment
outlining course and attendance record (ie length of course, number of
days, final qualification).
Analysis
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Beneficiary by:
 Gender
 Age
 Ethnicity
 Disability
Status (of those receiving assistance):
 JSA/Income Support claimant
 Incapacity Benefit claimant
 Other
Securing:
 Employment
 Education
 Training
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3. People assisted in their skills development
PMS Codes
S/T – Skills Development (by learning type)
S/SEC – Skills Development (by sector)
Unit of measurement
Number of individuals
Counted
When individual has undertaken required amount of development or
achieved required qualification. Assistance for the individual can only
be counted once per project. The output supports lifelong learning
and includes individuals of all ages or employment status (except
individuals under 16 and in statutory education – though see count
under sub-set 10below).
ERDF Requirements
The following types of learning are eligible for ERDF:
 Level 3 qualification
 Foundation degree or higher
 Work based training
 Leadership & Management skills
The activity must not be eligible for ESF support and must be in line
with the investment frameworks (check with EPE team for any
clarification).
Exclusions
Services as part of legal, statutory obligation on the part of others to
provide education up to the age of 16.
Anything counted as employment, education or training support in
output 2
Skills development
The development of an individuals transferable skills, a formal
qualification is only required where specified as part of the sub set.
Can include:
 Learning through presentations, demonstrations and
instruction
 Individual learning through coaching
 Mentoring in the workplace
 Technology based learning
Assisted
Assistance should be minimum of 6 hours either as single block or
cumulatively. Assistance must be part of the project, where
assistance involves capital investment e.g. provision of facilities, it can
only be counted if the contract schedule includes a target for
individual skills development as a direct result of the project
Verification
Provider details: Name, address (inc. post code/tel no.)
Type of assistance: Type of training, number of hours, start and end
dates
Individual: Name, address, post code, attendance register/statement,
copy of qualifications/certificates (if applicable) + beneficiary data
Analysis
Beneficiary by:
 Gender
 Age
 Ethnicity
 Disability
Skills development by
 Priority sector/Employment Sector (where appropriate)
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By type of learning as defined in sub-sets below:
1. Basic skills
Individual must achieve one of the following qualifications
 Literacy, numeracy or ESOL at entry level 3 or above
 Key Skills in Application of number or communication at levels
1 or 2/GCSE in Maths or English at Grade C or above
Only the first qualification attained by an individual counts for this
output.
2. Level 2
Qualification
Achievement of a National Vocational Qualification (NVQ) at Level 2,
or equivalent qualification. Details of equivalent qualifications can be
found on the DCSF Qualifications website.
3. Level 3
Qualification
Achievement of a National Vocational Qualification (NVQ) at Level 3,
or equivalent qualification. Equivalent qualification at this level can
include University Certificates.
4. Foundation
Degree or
Higher Level
Qualification
Achievement of a National Vocational Qualification (NVQ) at Level 4
or 5, or equivalent qualification
5. Work based
training
Learning which takes place in the workplace or outside the workplace
but is related to a specific job or is paid/provided by the employer.
The training can have a direct relationship to the job or could be part
of a skills development plan. No formal qualification is required
6. Leadership &
Management
Training/Development relating to the overall management of a
company. This includes accredited or non-accredited provision e.g.
taught programmes, action centred learning, mentoring and coaching.
Can also include training/development about CSR (Corporate Social
Responsibility)
7. Enterprise Skills
Training/development relating to the development of entrepreneur
skills. Can be accredited or non-accredited provision including generic
‘enterprise‘ skills for employed or unemployed young people or adults.
8. Apprenticeships
Training as part of an apprenticeship programme combining learning,
paid employment and leads to a qualification i.e. Foundation
Apprenticeship at level 2 or Advances Apprenticeship at level 3.
9. Economically
inactive
completing
vocational
training
Courses to better equip people to obtain sustainable, productive
employment. A formal qualification is not required
Vocational training courses containing knowledge and skills relevant
to particular sectors of industry or occupations.
They can be
a) general, introducing learners to a broad sectors of industry and
business, encouraging understanding, key concepts and theories and
may include some basic skills e.g. literacy, numeracy or IT skills;
b) specific, return to work, introducing theories, conventional
practices, including skills needed for a particular job or occupation;
10. Under 16’s
undertaking nonstatutory
vocational
training
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Training or development for young people to prepare them for work.
The training does not have to take place within an educational
institution, and covers pupils who are still within statutory education.
Does not need to lead to a formal qualification
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4. Number of Businesses created
PMS Code
BSU – Number of Businesses Created
Unit of
measurement
Number of businesses Social Enterprises should be identified separately
Counted
1.
2.
3.
4.
At start up
At 12 months survival
At 24 months survival
At 36 months survival
Please note: Other than for ERDF (see below) it is not necessary to have
forecast targets for survival rates, these will be used to record actual
survival – however, project deliverers will need to have a process in place
to follow-up, record and report on business survival
ERDF
requirements
Output not counted for ERDF, but is counted as a result (R2) at stage 2 –
12 month survival, when the business/social enterprise created as a result
of an NWDA funded intervention
ERDF can also count pre-start assistance – see 4a below
Exclusions
Businesses that already exist and are relocating or setting up new offices
Business
The 3 main types of business are Sole Proprietor, Partnerships and
Companies and include not for profit, Social and Community Enterprise
organisations and Farm businesses
Start up
When the business starts trading in the region as a direct result of the
project intervention. This can be when the business registers for VAT or
National Insurance (Class 2) contributions. If these are not available it is
acceptable to use the Business Link approach and us the date of the first
transaction.
Survival
When the business is still in operation/trading and is sustained for 12, 24
and 36 months
Social Enterprise
Social enterprises are defined as businesses with primarily social
objectives who’s surpluses are principally re-invested for that purpose in
the business or in the community, rather than being driven by the need to
maximise profit for shareholders and owners
Verification
Start up: Name, address (including post code/tel no.) contact details,
company registration, VAT registration or NI class 2 registration, or date of
1st transaction where this can be evidenced + beneficiary data and
priority/employment sector.
Survival: Confirmation at relevant stage that it is still trading, signed
declaration by Owner/Director
Analysis
Business To be analysed by:
 Priority
 Employment sector
Business type:
 Social Enterprise
Business ownership by:
 Gender
 Age
 Disability
 Ethnicity
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4a. Businesses creation – pre-start assistance
PMS Code
Output does not have PMS code – will be recorded for ERDF purposes on
MCIS
Unit of
measurement
Number of pre-starts
Counted
When the pre-start business has received a minimum of 2 days active
support, or a minimum £1000 grant or equivalent
The pre-starts can only be counted once within a project irrespective of
the number of times or forms of assistance received.
ERDF
requirements
Care must be taken to ensure no double counting between this output and
output 2 – where assistance is given to individuals that result in self employment
Exclusions
Travelling time to clients is excluded
Pre-start
The business must not be trading yet but enquiring about or trying to start
up for trading. It can include:
 Individuals and groups (community, not for profit, other) who are
seeking support to start a business
 HEIs and others seeking to start spin out companies
 An SME that is less than 12 months and not trading
Assistance
Support activities may include advice and guidance e.g. to develop
business plans, marketing strategies, support for trade fairs, support to
develop business skills. This can be provided through:
 Counselling, mentoring, information provision, training or other
non-financial assistance, or
 Grant or equivalent of at least £1000
Verification
Details of the provider of any support (name, address etc). Details of the
assistance provided to include a record of hours of assistance, names and
addresses of pre-start contacts, activities undertaken. Evidence of status
of the pre-start.
Copy of receipts for grant or equivalent signed and dated by the recipient.
Evidence of business proposal documents – business plan, marketing
plan, training undertaken, attendance at trade firs etc.
Analysis
Business To be analysed by:
 Priority
 Employment sector
Business ownership by:
 Gender
 Age
 Disability
 Ethnicity
GN PJ_SP309
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5. Number of Businesses assisted
PMS Codes
BA/T – Businesses Assisted (depth of assistance)
BA/S – Businesses Assisted (by type)
BA/P – Businesses Assisted (by support product area)
BA/SE – Businesses Assisted (by sector)
Unit of measurement
Number of Businesses
Counted
When the business has received support covered by the definition
for one of the following:
1. Intensive assistance
2. Intermediate support
3. Universal support
Within a project a business can only be counted once irrespective
of the number of times or forms of assistance it receives. However,
it has been agreed that projects (if they opt to) can count all
relevant business assists as Universal, but they would be required
to do an adjustment to the numbers if the business subsequently
receives a higher level of support. This would operate over a 12
month time period.
Within a programme a business may be counted each time it
receives assistance through a different project or intervention
strand.
ERDF requirements
To count for ERDF assistance must be either intermediate support
or intensive assistance (this can be cumulative over a period)
For MCIS recording purposes the following outputs should be used:
03
03a
03b
03c
03d
03e
Businesses Assisted (intermediate support)
Businesses Assisted (intensive support)
Collaborations with the Knowledge Base
SME assistance
Social Enterprise assistance
Reduce Industrial and Commercial Waste
Anything counted under output 13 for ‘Environmental Businesses’
should be excluded here to avoid double counting – though can be
counted towards the cumulative assistance figure if only counted
once across the two outputs.
Exclusions
Distribution of mail shots and brochures (electronic or hard copy).
Business can only be counted once in a single project even if it
receives more than one piece of support
Assistance to individuals to establish a new business should be
counted under output 4, however, post start-up support can be
counted under this output.
Business
The 3 main types of business are Sole Proprietor, Partnerships and
Companies and include not for profit, Social and Community
Enterprise organisations and Farm businesses
SME
An SME is any enterprise with less than 250 employees and either
less than E43m turnover or less than E43 m net assets.
If the enterprise is part of a group (more than 25% owned by
another enterprise), then the above criteria must be met by the
consolidated results of the group.
GN PJ_SP309
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Social Enterprise
Intensive assistance
Social enterprises are businesses with primarily social objectives
whose surpluses are primarily reinvested for that purpose in the
business or in the community, rather than being driven by the need
to maximise profit for shareholders and owners.
Businesses are intensively assisted at the point at which they make
an investment (significant financial or significant management time)
in which their business in partnership with the project, through work
with the project team or a brokered third party intermediary eg a
relationship with an Account Manager/adviser/consultant.
To qualify for the intensive assistance measure there must be a
shared agreement to implementing an action plan or other formal
framework agreement, developed in partnership between the
project and business, including a strategy for improving business
performance with the necessary GVA baseline data (previous year)
and a specific forecast for change to GVA over a defined period of
time (informed by the project intervention and planned actions, but
normally 12 months). The plan needs to be signed and dated by a
Director.
GVA = Total salary/wage costs + pre tax profit + depreciation
(evidenced from Annual Report/Company Accounts)
The agreement must be auditable ie kept as a tangible document
(hard or electronic copy) and have a suitable audit trail that is
available on request.
An intensive assist is counted at the point the agreed action plan is
signed.
Intermediate support
Minimum level of support is two days consultancy advice or other
non financial assistance, grant or equivalent of at least £1,000.
Universal support
Business must have received support, information or advice by
means of individual interaction through face to face, telephone,
conference or workshop, networks or web based dialogue.
Verification
Name, address (inc. post code/tel no.) of business showing
ownership + beneficiary data and business type.
Assistance should be detailed by depth confirming consultancy
support provided and any action plans produced as a result of the
support
For intensive assistance there should be
 a formal signed/dated agreement and action plan
 evidence of a planned meaningful ongoing relationship
between the project provider and the business, to include a
minimum of 2 planned follow-up activities over the year.
These may take place by e-mail/telephone if supported by
notes of date/time and point discussed.
 Collection of GVA data (including baseline) and forecast of
GVA to be achieved.
 For Business Link projects this must include a minimum of
2 hours Adviser time.
Evidence for each of the BSSP support projects should ensure
relevant specific verification as required – some examples given
below
Analysis
GN PJ_SP309
Business type:
 Social Enterprise
 SME
 Other
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Business ownership by:
 Gender
 Age
 Disability
 Ethnicity - for multi owner business this can be based on
‘majority owned BME business’
Please note some types of business and/or support do not need to
be analysed – see guidance notes under section 3.3 Business
Characteristics: Equality Monitoring
By sector:
 Priority sector
 Employment Sector
By Business Support Product Area as per BSSP sub-sets below
(further information/detail on these Business Support Simplification
Product areas can be found on the Process Management Toolkit)
1. Business Creation
Helping to overcome barriers to setting up/starting and growing a
new business (see exclusions/link to output 4). Includes:
Starting a high growth business
Intensive start up support for under represented groups
Starting a Business – pre-start up advice.
Verification: the amount of information may be informed by depth of
assistance and product support. Could include details of assistance
and information from individuals detailing how assistance has
helped overcome barriers to start up (eg development of business
plan/marketing plan etc). The intensive start up also requires
evidence of belonging to target groups. For High Growth there are
also additional criteria required.
2. Local Community
Business Coaching
Enterprise Coaching helping hard to reach communities to start up
in business. This is designed for people for whom other products
are not suitable.
Verification: the output is aimed at specific target groups, so
evidence would need to establish eligibility, as well as details of
assistance received
3. Financial
Awareness and
Capability
Providing SMEs with the understanding, skills and expertise to
secure private sector funding
Verification: details of businesses assisted (including SME status)
and how this assistance has helped develop skills/expertise.
Further information may be available/appropriate on the subsequent
securing of finance.
4. Debt Finance
Security and loan finance for SMEs with viable business plans.
Includes:
Support to lenders (currently limited to the Small Firms
Loan Guarantee)
Small loans to business for disadvantaged groups
Verification: details of businesses assisted and how this assistance
has been used to implement business plans. Evidence may also be
needed for eligibility in target groups
5. Capital Investment
Grants
GN PJ_SP309
Grant for Business Investment/SFIE. Help to support capital
investment projects either by SMEs or by companies operating in
the assisted areas
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Verification: details of businesses assisted and how this assistance
has helped specific issues/problems. The business must be viable
and project must have a good chance of being self-sustaining.
6. Innovation Finance
Help to develop and commercially exploit innovative ideas.
Includes:
Low carbon energy demonstration
Grant for Research and Development
Verification: details of businesses assisted, activities undertaken
and types of products/processes/technologies researched or
developed.
7. Risk Capital
Targeted at the
Equity Gap
Finance for business/equity financing for SME businesses unable to
raise finance on the commercial market, but which have viable
business plans.
Verification: details of businesses assisted and SME status.
Eligibility for finance by demonstrating failure to secure finance and
confirmation of the viability of business plans. and
8. Skills Solutions for
Business – Train to
Gain
Helping businesses to improve the skills of their employees and
individuals to improve their skills for business
Verification: details of businesses assisted, and how this assistance
has helped specific issues/problems, and action/training plans on
how advice is to be taken forward to assist employees.
9. Resource
Efficiency and
Sustainable Waste
Management
Encourage businesses to adopt measures that reduce the negative
impacts of their commercial activities on the environment.
Includes ERDF ‘Assistance to reduce industrial waste’ (03e), but to
be counted for ERDF purposes should be assistance to provide
improvement in processes improve re-cycling, re-use or reduction in
waste. Any doubts about fit should be discussed with the EPE.
Verification: details of businesses assisted and activity undertaken.
Evidence of the waste processes that the intervention targeted.
10. Business Expertise
Help to get expert advice for targeted small-medium businesses to
grow. Includes:
Manufacturing Advisory Service
Designing Demand
Innovation advice and guidance
Coaching for high growth
Verification: details of businesses assisted and information from
company detailing type of expert advice and how this assistance
has helped specific issues
11. Innovation
Collaborations
Help for companies to work together and with the Knowledge,
science and research base to increase collaboration. Includes:
Collaborative R+D
Networking for Innovation
Knowledge Transfer Partnership
Innovation Vouchers
Includes ERDF ‘Collaborations with the Knowledge Base’ (03b), but
for ERDF purposes business to business collaborations do not
count. It is only first collaborations by the business which count.
For ERDF knowledge base constitutes:
UK Public Sector Research Establishments (or equivalents)
Research and Development Organisations
Research and Technology Organisations
Higher Education and Further Education Institutes
GN PJ_SP309
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Any doubts about fit should be discussed with the EPE.
Verification: details of business assisted and details of any
collaboration, including activity and eligibility of organisations
involved depending on the product area (eg for ERDF needs
confirmation that ‘knowledge base’ is in eligible category). There
may be further documentation setting out terms of the collaboration,
eg Memorandum of Understanding.
12. Business
Collaboration
Networks
Helping businesses to work together to improve performance and
exploit market opportunities and new knowledge
Verification: reports/action plans etc of businesses involved in
networks and details of assistance/support. Information from
individual businesses on benefits/outcomes of collaboration.
13. Shared Business
Support
Environments
Shared business premises and facilities in which businesses
develop and grow. Includes:
Business Premises
Business Growth: Specialist Facilities and Environments
Verification: details of businesses assisted and how the use of the
new premises/managed workspace has helped business growth.
14. Getting the most
from foreign direct
investment
Maximising the contribution of foreign direct investment to economic
activity un the UK. Delivery of inward investment projects is led by
UKTI.
Verification: details of businesses assisted and how this assistance
has helped specific foreign investment projects
15. Preparing to export
Developing international trade potential. Help for businesses
considering first time exporting or entry into new overseas markets.
UKTI will need to endorse suitability for participation.
Verification: details of businesses assisted and how this assistance
has helped specific issues/problems.
16. Investigating new
overseas markets
Tailored help for individual companies accessing specific
international markets. UKTI will need to endorse suitability for
participation.
Verification: details of businesses assisted and how this assistance
has helped specific issues/problems.
17. Export Credits
Guarantee/
Insurance
Helping business manage non-payment risks in overseas markets
18. Protecting the
Natural
Environment
Help and incentives to create a low carbon economy and tackle
climate change. Includes:
Environmental Land Management Funding (part of RDPE)
Environmental Land Management Advice
Verification: details of businesses assisted and how this assistance
has helped specific issues/problems. There must also be a
rigorous risk assessment of the exporter and buyer.
Verification: details of the business assisted and the form of the
assistance. Depending on the assistance may need to confirm
eligibility
GN PJ_SP309
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6. £ of public and private leverage
PMS Code
PPL – Public and Private Leverage
Unit of
measurement
£ of Gross matched funding to project (SP)
£ of Gross leverage to project (ERDF)
Counted
When defrayed by the project
ERDF
requirements
ERDF counts leverage not matched funding (including SP).
For ERDF purposes FE/HE count as public - see below.
Exclusions
Any expenditure prior to the contract being signed by both parties, any
expenditure after the project has reached practical completion
Public
Public Sector includes Local Authorities, English Partnerships, ERDF,
LSC, Health Trusts and Lottery
Private
Private sector includes business, registered charities, not for profit
organisation, private individual, FE/HE institutions (see exclusion above
for ERDF).
Leverage
Public Sector:
SP – The sum of the other public and private investment, including ERDF
and matched funding (capital and revenue) but excluding the SP
contribution (A).
ERDF – The sum of the other public sector investment in the project
excluding ERDF and matched funding (B)
Private sector:
Sum of all the private sector investment in the project, including
monetarised in-kind contributions (C)
Total value of leverage:
SP – A+C
ERDF – B+C
Verification
Public sector: Name/address of organisation and copy of grant letter from
contributor
Private sector: Name/address of organisation and copy of receipts for
contribution
In-Kind: Detail of land/building provided with auditable valuation evidence
Spend: Evidence of contributions being spent – audits, accounts, invoices
etc
Analysis
GN PJ_SP309
None required
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7. Brownfield land reclaimed, redeveloped or regenerated (Ha)
PMS Code
BL - Brownfield land reclaimed or redeveloped
Unit of
measurement
Area in hectares (ha)
Counted
At practical completion of the works. Where a site is reclaimed in phases
count the hectares when each phase is completed
ERDF
requirements
Green infrastructure is only applicable to Action area 3.2.
Green infrastructure on Greenfield land can be counted for ERDF
purposes if it is part of the overall project – where this is the case it should
be counted as a separate project output (ie not as brownfield land).
Exclusions





Brownfield Land
When only activity is purchase of land, building or site (unless the
applicant is obliged to develop the land under the terms of the NWDA
Funding Agreement).
Any land which does not meet Brownfield’s definition.
Land and buildings that are currently in use for agriculture or forestry
purposes
Land in built up areas not previously developed e.g. parks,
recreational grounds, allotments and cemeteries or only shown on the
DUN land register as underused or neglected
Land previously developed but where the remains of any structure or
activity has blended into the landscape in the process of time e.g.
amenity use, contribution to nature conservation
Includes contaminated, derelict or previously developed land which is or
was occupied by a permanent structure (excluding agriculture or forestry
buildings) and associated fixed surface, infrastructure within the curtilage
of the development. In all cases the RDA activity must comply with the
polluter pays principle.
Categories include:
 Previously developed vacant land
 Vacant buildings unoccupied for 1 year or more
 Derelict land and buildings on the NLUD database
 Land or buildings currently in use, allocated for development in the
adopted plan or have planning permission, or where it is known there
is potential for redevelopment
 Defence buildings
 Land used for mineral extraction and/or waste disposal
Reclaimed,
Redeveloped
and
Regenerated
land
GN PJ_SP309
Total number of hectares of Brownfield Land reclaimed, serviced or
developed to an acceptable standard/condition
Reclaimed: Making land fit for use by:
 Removing physical constraints to development or improving the
land for end use
 Providing services to open it up for development e.g. provision of
utilities and service roads (though please note these are not
eligible costs under the state aid land remediation scheme)
Activities may include:
- dealing with contamination, existing surface and buried structures
- Stabilisation
- Levelling
- Provision of flood defences
- Environmental improvements or enhancements
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Redeveloped: Development of a site and putting up new building or
refurbishing an existing building e.g. construction of premises, new plant
and equipment, fitting out of premises
Regenerated: Remodelling, enhancement, interpretation or improvement
of the site for public benefit and/or its active long term management for
that purpose, including:
- access
- safety
- planting
Hard End use
Land used for physical development/construction
Green
Infrastructure
Physical environments and open spaces that have a management plan in
place (e.g. woodland, park, garden, nature reserve, wildlife habitat) which
sustain clean air, water and national resources and bring social
economical and environmental benefits
Verification
Photographs, planning consents confirming Brownfield status, land
registry records/deeds, local authority/NLUD register details, certificate of
practical completion, QS certification.
Contaminated Land – completed land condition and remediation complete
certificate
Green infrastructure management plan
Analysis
GN PJ_SP309


Hard end use
Green Infrastructure
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8. New or upgraded floor space
PMS Codes
F/B – Floorspace (business use)
F/C – Floorspace (commercial use)
F/V – Floorspace (visitor attractions/leisure)
F/E – Floorspace (education use)
F/O – Floorspace (other use)
Unit of
measurement
Area m2
Counted
On practical completion
ERDF
requirements
New or upgraded floorspace is not an output for ERDF, it an be counted
as result for ERDF (R4), however, only floorspace for business use and
commercial use can be counted for ERDF (excluding retail)
Exclusions
Cannot be counted when the only activity is the purchase of an existing
building. Residential floorspace should not be included.
Floor space
Internal floor space – including corridors, lifts, plant rooms, service
accomodation
New or
upgraded
New: new building
Upgraded: Building refurbished, improved or adapted for productive use.
Space that is now lettable or where the actual or potential market value
has been increased by the physical improvements
Business use
Facilities to support business activity but essentially non-commercial in
nature e.g. facilities owned or operated by the public sector to
promote/support business (such as National Biomanufacturing Centre,
Food Technology Centre), advisory services.
Commercial use
Premises usually owned by the private sector for commercial activity e.g.
offices, industrial, retail, hotel.
Educational use
Premises primarily for educational use e.g. colleges
Visitor
attraction/leisure
Facilities used for tourism or leisure, e.g. museums
Verification
Building plans showing floor space, address of building, photographs, QS
certification and promotional material for sale/letting
Analysis
By use:
 Business
 Commercial
 Education
 Visitor attraction/leisure
 Other
By sector (where applicable):
 Priority sector
 Employment Sector
GN PJ_SP309
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9. Public Realm created or improved
PMS Codes
PR – Public Realm
Unit of
measurement
Area m²
Counted
On practical completion
ERDF
ERDF do not count public realm
Exclusions
Roads and highways.
Private land not open to the public, or not predominantly available to the
general public to use at no cost.
Anything counted under Brownfield Land output.
Public Realm
Infrastructure and environmental improvements in towns, cities and
villages includes:
Cycleways,
Footpaths/pavements, and
open spaces/areas that are open to the public 24/7
Verification
Before/after photographs, QS certification, plans/drawings
Analysis
None
GN PJ_SP309
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10. Number of Visitors attracted
PMS Code
VA – Visitors Attracted
Unit of
measurement
No of visitors to new or improved venues or attractions
Counted
Using tourism surveys at appropriate frequency to be agreed.
Where the project is undertaking improvements to a venue/attraction the
methodology will need to count the increase in visitor numbers. It is
therefore essential that a baseline is set to allow this measure.
ERDF
requirement
ERDF requires actual numbers to be counted/evidenced
Exclusions
Visitors to venues/attractions that have not received NWDA funding
Visitor
Individual attending an event, venue or attraction. Can be from within or
outside the region – there is no minimum visit time or travel distance, but
information should be gathered to allow analysis below
New or improved
venue or
attraction
A leisure venue or attraction that has been launched or improved through
a contribution of funding from the NWDA
Verification
Evidence to be collected using a standard survey methodology approved
by the NWDA Tourism Team
Analysis
See note re ERDF requirements
Analysis by visitor types:
a) domestic day visitor from within the region
b) domestic day visitor from outside the region
c) domestic overnight visitor from within region
d) domestic overnight visitor from outside region
e) International overnight visitor
Note that on PMS, visitor types (a) and (b) are combined
GN PJ_SP309
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11. £ economic impact of major events and tourism marketing
PMS Code
MARK – economic impact of major events, tourism marketing and new
and improved visitor attractions
Unit of
measurement
Economic impact in £ of spending by visitors:
 Attending major events
 Attracted to the region by tourism marketing
 Visiting new or improved venues and attractions
Counted
Using event/marketing surveys at an appropriate frequency to be agreed
Where the project is undertaking improvements to a venue/attraction the
methodology will need to count the increase in visitor spend. It is
therefore essential that a baseline is set to allow this measure.
ERDF
requirement
Output not counted for ERDF, but can count as a result (R8) – Visitor
spend
ERDF requires actual numbers to be counted/evidenced – STEAM
methodology is not accepted as evidence
Exclusions
Economic impact generated that cannot be directly attributed to NWDA
funding, or that is not a result of expenditure by visitors.
Major Event
An event where NWDA has been involved with funding and/or PR for the
event through ‘major event’ funding. Other events that receive funding
from the NWDA may be able, or be required, to submit evidence of visitor
numbers and their economic impact, at the discretion of the NWDA
New or improved
venue or
attraction
A leisure venue or attraction that has been launched or improved through
a contribution of funding from the NWDA
Verification
Evidence to be collected using a standard survey methodology approved
by the NWDA Tourism/Marketing Teams
Analysis
Analysis by:
 Economic impact of visitors to major event
 Economic impact of visitors generated by tourism marketing
 Economic impact of visitors to new or improved venues or
attractions
GN PJ_SP309
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12. Tonnes of Carbon Dioxide generated
PMS Code
SCP - Sustainability
Unit of
measurement
Tonnes of Carbon Dioxide
Counted
The NWDA Carbon Accounting Tool should be used at the project
appraisal stage to estimate the carbon footprint of the whole lifetime of the
project (ie what the carbon emissions as a result of the project are likely to
be).
The actual carbon footprint of the project will be calculated and reported
regularly throughout the life of the project and at end of project the overall
actual carbon footprint will be compared to estimates.
Exclusions
Anything outside the remit of the Carbon Accounting Tool.
Carbon Dioxide
generated
1. Energy used by fixed or mobile equipment eg heating in a building,
lights, machinery on a construction site
2. Generating and disposing of waste
3. Use or discharge of water
4. Transportation of materials or people
The carbon footprint should include only the elements of the projects
lifecycle over which the project applicant actually has influence in terms of
resulting carbon emissions and can provide data.
Further information can be found in the ‘Help’ section of the Carbon
Accounting Tool.
Verification
Copy of the completed Carbon Accounting Tool
Analysis
None required
GN PJ_SP309
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13. Environmental Businesses Assisted
PMS Code
Output does not have PMS code – will be recorded for ERDF purposes on
MCIS
Unit of
measurement
Number of Businesses
Counted
When business has received a minimum of 2 days consultancy advice or
non financial assistance, grant or equipment of at least £1,000.
ERDF
requirement
Exclusions
This is an ERDF only output
Distribution of mail shots and brochures (electronic or hard copy).
Business can only be counted once in a single project even if it receives
more than one piece of support – though if the support is under the
threshold the support can be counted cumulatively – and can count
towards the cumulative assistance in output 5 as long as the business is
only counted once.
If the support is assisting the business develop an environmental product
under output 14 then only one of either environmental business or
environmental products output can be claimed for the assistance
provided.
Assistance
Business must have received support, information or advice by means of
individual interaction through face to face, telephone, conference or
workshop, networks or web based dialogue.
Can include mentoring, financial assistance, development of specialist
business premises, assistance with promotional or marketing activities.
Environmental
Business
Developers of:
 environmental/less polluting technologies
 low carbon technologies
 environmental products
 services industries/specialist consultants providing expertise in
areas such as flood management, asbestos surveying, waste
management and minimisation, efficient energy use and
environmental law.
Business for this purpose is an establishment with a specific address and
post code rather than an enterprise (which may have more than one
establishment and whose address and post code may well be the
corporate headquarters).
Verification
Name, address (inc. post code/tel no.) of business showing ownership +
beneficiary data.
Written company statement or letter signed by Owner, Chief Exec or
Finance Director confirming business support received and any action
plans produced as a result of the support
Analysis
GN PJ_SP309
Business ownership by:
 Gender
 Age
 Ethnicity
 Disability
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14. New Environmental Products Assisted
PMS Code
Output does not have PMS code – will be recorded for ERDF purposes on
MCIS
Unit of
measurement
Number of new environmental products assisted as a result of the project
Counted
When business has received a minimum of 2 days or £1000 of financial
assistance towards the development of an environmental product.
ERDF
requirement
Exclusions
This is an ERDF only output
Assistance provided in the form of mail shots and brochures (electronic or
hard copy).
Business can only be counted once in a single project even if it receives
more than one piece of support. If the business developing the
environmental product is an environmental business defined under output
13, then only one of either environmental business or environmental
products output can be claimed for the assistance provided.
Assistance
The number of environmental product(s) supported to improve
performance, undertake market testing or provide support to ensure
market readiness, accessing further research or funding regardless of
whether they succeed in doing so.
Business must have received support, information or advice by means of
individual interaction through face to face support in attending trade
conferences. The activities may include mentoring, financial assistance,
promotional or marketing activities, providing links to the HE sector or
providing access to further research.
Environmental
product
Environmentally/less polluting goods, energy efficient and resource
efficient technologies.
Verification
Name, address (inc. post code/tel no.) of business and description of
environmental product for each ‘environmental product’ supported and
how this is classed as an environmental product.
Written company statement or letter signed by Owner, Chief Exec or
Finance Director confirming support received for the product claimed.
Analysis
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15. Number of applications of Low Carbon Technology
PMS Code
Output does not have PMS code – will be recorded for ERDF purposes on
MCIS
Unit of
measurement
Number of new low carbon technology applications as a result of the
project
Counted
When the low carbon technology has:
 Been demonstrated in a commercial application for an agreed
period of time that reflects the ability of the technology to reduce
CO2e emissions;
 Been developed as a prototype and can demonstrate through
experimental conditions the ability to reduce CO2e emissions.
ERDF
requirement
Exclusions
This is an ERDF only output
Assistance provided in the form of mail shots and brochures (electronic or
hard copy).
If the low carbon technology could also be classed as an environmental
product, as defined under output 14, then only one of either environmental
products or low carbon technology output can be claimed for the
assistance provided.
Use of natural systems to store carbon.
Application of carbon trading and voluntary offsets
Behavioural change processes.
Low Carbon
Technologies
The application of a technology that can demonstrate through its use, an
ability to save CO2e over an existing technology or techno. Low carbon
technologies cover a broad range of activities relating to energy waste
and water including increasing efficiency of fossil fuel and electrical
motors, renewable energy technologies, building management controls,
substitution of high energy materials and waste/water recovery and
minimisation technologies.
CO2e
Equates to Carbon Dioxide Equivalent – There are six main greenhouse
gases with different warming potential and for simplicity they can be
calculated to be reported under the one heading CO2e.
Verification
Name, address (inc. post code/tel no.) of business and description of the
low carbon technology, with an independently verifiable report for the
technology that demonstrates a step change in technology design, that
will provide a reduction in CO2e baseline emissions. Written company
statement or letter signed by Owner, Chief Exec or Finance Director
confirming support received for the product claimed.
Analysis
Business ownership by:
 Gender
 Age
 Ethnicity
 Disability
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ERDF Results
Result R1 Jobs created/safeguarded definition is covered under output 1
Result R2 Business Created definition is covered under output 4
Result R4 New or upgraded floorspace definition is covered under output 5
Result R8 Visitor Spend definition is covered under output 11
Result R3 Businesses improving their performance; and
Result R5 Individuals who gain employment within 6 months of intervention; are
detailed below
Result numbers 6 and 7 are not used in this document.
R3. Businesses improving their performance
PMS Code
Output does not have PMS code – will be recorded for ERDF purposes on
MCIS
Unit of
measurement
Number of businesses
Counted
When there is demonstrable proof that a business, assisted through an
ERDF project, has had an increase in GVA against the baseline.
There is likely to be a delay between the project activities and the
realisation of improvements in GVA.
Where business improvement was expected to have reduced in the
absence of the intervention, an improvement may be recorded if the
intervention has resulted in a lesser fall.
Exclusions
Any business not receiving ERDF support to improve performance
Improved
performance
Measured through increased GVA. GVA = Total salary/wage costs + pre
tax profit + depreciation
Baseline position (previous year Annual Report/Company Accounts)
needs to be evidenced when assistance under output 5 is given and this
then needs to highlight that at the end of the assistance (agreed date of
calculation) there has been some improvement in the position.
Verification
Company evidence from output 5.
Collection of GVA data (including baseline) and improved measure GVA
from Company Accounts.
Analysis
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R5. Individuals who gain employment within 6 months of intervention
PMS Code
Output does not have PMS code – will be recorded for ERDF purposes on
MCIS
Unit of
measurement
Number of Individuals who have received assistance through the project
and actually secure employment
Counted
When the individual who received support has gained some form of
employment within 6 months following intervention
Where the person was in employment at risk and has changed to a more
secure job, this may also be counted.
Employment
Employment may include voluntary and part time work as well as full time
employment (paid or self employed)
Intervention
Support provided to the individual through an ERDF funded project
Exclusions
Anyone not assisted through an ERDF funded project
Verification
Name of individual supported
Letter from ‘employer’ with name/address of place of employment
including post code/tel no, confirming required details (i.e. start date, job
details). Evidence of employment of individual e.g. contract, pay slips,
employment records + beneficiary data
Or
Self employment details if appropriate
Analysis
Beneficiary by:
 Gender
 Age
 Ethnicity
 Disability
For MCIS recording purposes the output should be split:
5a Employment
5b Self-employment
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FREQUENTLY ASKED QUESTIONS
Jobs
Q. Can a sole trader be counted as a job created as well as a business created?
A. Yes, to count as a job they must meet definition criteria – recognising that the
employer and employee is in this case the same person. Note sole traders include
self-employed and free lance workers.
Q. Does the type of business created make a difference to whether we can
count a job as well? Does the first job created within a business always get
discounted.
A. The type of business is not relevant. The first job is not discounted all jobs can be
counted.
Q. Can helping individuals to obtain voluntary work count as a job?
A. Not for output 1 where this is a job is Paid employment. They can be counted
under core ouput 2 ‘People helped to secure employment, education or training’ or as
an ERDF result under R2 ‘Individuals who gain employment’.
Q. In counting the outputs are we expected to collect information on the actual
jobs created from inward investment successes?
A. There is no reason why inward investment jobs should be treated differently from
other RDA interventions that result in jobs created.
Q. If we train people in construction skills with the aim of becoming selfemployed, can we count then under jobs created?
A. No the project objective is to develop skills so they should be counted under the
relevant skills output. Having received the training they may go on to get either a job
or become self-employed. These are the outcomes for the project and should be
picked up when the project is evaluated.
Q. A project focused on corporate social responsibility aims to link companies
with local schools. The project will be managed by an individual, whose salary
will initially be wholly paid for by the RDA. The intention is that this post will
eventually be funded entirely by contributions from the companies involved
after 3-4 years. At what point can the post created be counted as an output?
Do we have to wait for the contribution from the RDA is zero or can we claim
half a job if the private sector is contributing 50%?
A. The post is an input to run the project so it cannot be counted as an output at any
time. This is not affected by the project objectives or the source of funding
contributions. If the post is sustainable and continues after the life of the project then
it is an outcome or result not an output and may be counted as such.
Q. We are getting conflicting advice from our consultants on whether to count
construction jobs as an outcome in our evaluations. If they are a part of a
project activity they are an input, but clearly if we do not assess the
contribution of activity to project outcomes particularly over large builds (and
periods) then we are loosing a swathe of data that cannot be assessed which
would be a shame in our assessment of impact.
A. The consultants appear to be mixing inputs, outcomes and impacts. They each
measure different aspects of a project when the definitions are not applied correctly
the risk is that the consultants will try to measure the wrong effects. The simple
answer is that if the construction jobs are an input (necessary to make the project
happen) and so cannot be counted as an outcome (the result or consequence of the
project). Its evaluation should consider to what extent the project success factors
have been achieved against its SMART objectives and baseline identified before the
project started. A large build has both negative and positive effects during and after
its construction phase. Examples might include:
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

Negative – additional noise, dust, traffic congestion (impact on health and well
being of local community – surveys, incidence of illness reported etc)
Positive – contractor takes on/trains local unemployment people to work on
the site (impact being a reduction in local unemployment)
Other factors might include:
 Jobs/new businesses that invest on the site on completion
 Improved confidence of the area reflected in higher land/premises
values/rental; further investment by the private sector
 Improvements in the visual amenity of the area
 Multiplier effect of spend by site staff in the local community – papers, food,
pubs etc.
If the project had a direct role in matching job opportunities between the unemployed
and the contractor to assist the take up then they could be counted under output 2 ‘People helped to secure employment’ and if the project has ERDF funding and
unemployed individuals are employed by the company become permanent
employees within at least 6 months then they could be counted as an ERDF result
R2 - individuals who gain employment
Q. What is the full set of categories used by the census to record ethnicity?
A. These are:
White British
White Irish
Other white background
Black Caribbean
Black African
Other black background
Indian
Pakistani
Bangladeshi
Other Asian background
Chinese
White and black Caribbean
White and black African
White and Asian
Other mixed background
Any other ethnic Group
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Business Creation
Q. Can business link business starts be counted under this output?
A. Yes, it is acceptable to include the Business Link start ups. However, measures
must be put in place to avoid double counting where Business Link is being used to
broker business support through projects. In this case there should be agreement
that Business Link will include in their count NOT the project.
Q. What can we count if a business relocates from another region and
increases the number of people employed? Can we count the additional jobs –
even if the jobs were not at risk in their previous location?
A. The additional jobs can be counted under core output 1 jobs created, as these are
new. The business cannot be counted as it has simply relocated from another region
and is not a new business. If it was a first branch of a business that continued in its
original location then it could be included as new business attracted to the region.
Q. When a project encourages a farm business to diversify e.g. help a farmer
start up a bed and breakfast operation, I would regard this as a new business,
but the farmer would probably not need to register separately for VAT or Class
2 NICs as a result of starting it up. Please will you confirm that new
businesses resulting from diversification of an existing business may be
counted and that persuasive evidence of creation will be acceptable where the
business owner does not need to register for VAT or Class 2 NICs
A. Where public resources are used to assist farmers to diversify from primary
production it is essential that there is a transparency between the businesses. As a
minimum there must be a separation of accounts between the two to ensure there is
no cross-subsidisation between the farm primary production activities and any
additional businesses run open the farm to ensure the aid complies with the State Aid
rules (agricultural and SME BE etc.) Where this is the case the additional business
created may be counted.
Q. Can we count businesses that are “Management Buy Outs” as it could be
argued that the result is a new business has been created?
A. No a “Management buy out” means that there is an existing business hence a new
business has not been created and it does not mean the output definition. The buy
out price paid reflects the value of the existing business. However, it could be
included under Business Support if it relates to agency intervention.
Q. Can a business relocating from one side of the border into England from
Scotland, Wales or Northern Island be counted?
A. A business that simply relocates from one side of the border into England cannot
be counted. The same principle applies as to a business relocating from another
English region or even within a region. This is displacement with no net benefit to the
UK economy hence it cannot be counted. However, where the business remained in
Scotland etc. but opened a new branch in the region then it could be counted as a
only the first branch in the region.
Q. Can franchises be counted as a business created?
A. There are 3 basic types of franchises:
1. Where the business set up a branch, owns it and looks for someone to
manage it on their behalf (e.g. pubs with independent managers).
2. Where the franchise sets up a business and buys the ‘kit’ (signs, machinery,
branding etc.) and then runs as their own business.
3. Where the franchise buys a part share of a business and the rest is owned by
the parent company.
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When the franchise is type 1 or 3 then they cannot be counted as a business
created, unless they meet ‘the new branch to the region” qualification. When it is a
type 2 franchise then it may be counted as a business expansion to the region.
However, if an existing franchisee opens a new outlet in the region this may not be
counted as it is an expansion of his/her existing business.
Q. What is the definition of a definition of a Minority (BME, Female and
Disabled) led Business?
A. A minority led business is defined as a company or business which has a majority
(over 51%) of partner, owner or director ownership or in the case of a social
enterprise/other where the majority of the senior management team comprises
individuals from BME, women or disabled people.
Q. Please could you advise if there are any guidelines to use to forecast the
Business Survival outputs at 12, 24 and 36 months.
A. We don't have anything definitive and B/L also doesn’t at present. As a guide you
should use a reducing 10% drop out - ie 90% at 12 months, 80% at 24 months, and
70% at 36 months - not scientific at all, and probably a bit pessimistic, but given the
present climate may be better to err on the side of caution. Unless required for the
specific project, it has been decided that survival rates do not need to be set as
targets, except for ERDF at 12 months (ie result R2). As we start to see actuals
being reported we will be able to update this information and have more evidence
based figures.
Q. Under the Tasking Framework we could claim Inward Investment
under the Business Creation output. Is this now not applicable under
the New Output Framework?
A. A decision has been taken that we wouldn’t count Inward Investment as
this is only applicable to one part of the Agency (Business Relations) and the
team concerned keep separate figs for this.
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Business Assistance
Q. Does the 2 days consultancy provision include travel time and preparation
time on behalf of the client or just the actual time provided by the consultant to
the client?
A. Travelling time is excluded; it is the actual time delivering the consultancy service
to the business that can be outlined.
Q. If the assistance involves training the staff of a business; can we also claim
output under a skills output?
A. Yes where this is part of the project objectives that there is a direct link and it
meets the relevant skills output requirements then the individuals whose skills have
been developed may also be counted under that output.
Q. Does the restriction of counting business assists only once per project lead
project managers to disaggregate projects artificially i.e. against the principle
of GRADE?
A. No. It is a fundamental requirement of public sector projects that these should not
be split to keep within financial delegations or achieve higher outputs. This is an
inefficient use of RDA resources. It will generally result in less effective projects
which are not likely to demonstrate the same value for money as other large projects
and so may not be approved when there is a limited budget.
Q. Can state schools that receive support on how to manage their budgets be
included in the business support output?
A. No. State schools are not companies in terms of the definition.
Q. A project to give assistance to businesses is designed to run for three years
with the contract performance reviewed annually and agree changes to the
target/focus area on the basis of the experience of the previous 12 months.
Could we claim subsequent assistance given to companies under this project
in years two and three?
A. No. Where assistance is given to a business within a project the business can
only be counted once. As a result of intensive assistance under the project there
should be clear outcomes that can be evidenced to demonstrate its value and impact
Q. Is there an issue if a company is located in the NW but the Head Office is in
another Region? Would this disqualify the Company from receiving support
and being counted?
A. As long as the benefits from the support to the company (eg jobs) will be retained
in the NW then this should not be an issue.
Q. Businesses assisted now need to be analysed by depth of assistance. Each
business can only be counted once and presumably the majority of assistance
would be able to be counted within the 'universal support' definition. However,
if a business is counted under universal support this then means they cannot
be counted under the other types/definitions if they are then given more indepth assistance. Is it possible to count incrementally and then make
adjustments to previously reported figures?
A. Businesses should, as far as possible, only be counted once within a project, as it
the number of businesses assisted not the number of types of assistance. However,
it has been recognised that this could be an issue and to bring the process into line
with Business Link practice it has been agreed that all business assists could count
as ‘Universal’ on first contact (if they fit the definition) and than an adjustment to the
figures could be done if the business subsequently receives a higher level of
assistant at ‘Intermediate’ or ‘Intensive’ levels. Adjusting reported figures does cause
complications so this will operate over a rolling 12 month period and project
deliverers will need to show that they have set up systems to record these
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adjustments. It does mean that there may be some double counting but the
arrangements will hopefully keep this to a minimum. [You should also remember that
for ERDF the business cannot be counted until it has reached a minimum of
intermediate support so any figures recorded for universal support will not be valid for
ERDF projects].
Q. For business assistance (universal), what constitutes individual interaction?
If a person attends a conference or workshop, is the fact that they attended
and it was for longer than 2 hours sufficient, or would there have to be, for
example, within the conference/workshop small discussion groups?
A. The universal support is wide ranging and there are no specified minimum
requirements of this sort. The definition aligns with the Business Link definition so
can include anything that is considered to be providing assistance to business,
therefore if the example of the conference/workshop was aimed at some sort of
assistance for businesses, then it can count.
Q. In the transition from the Tasking Framework to the new Outputs
Framework when are we counting a business from? Is 01.04.09 the start or if
they have previously been assisted under the old output can they/or not be
counted under the new one? For example ‘x’ count businesses who have a
diagnostic – but they do get repeat business that they know under current
rules they cannot count in the future, but if a company requests assistance
next financial year that have previously had support, can they now be
counted?
A. Under the new Outputs Framework it was agreed that if a project classifies a
business assist as ‘universal’ and than the business subsequently returns for more
intensive assistance then they can be counted again (but the numbers need to be
adjusted on a 12 month rolling period). In relation to your query the only time the
business should be counted again is if the original support is 'universal' ie would not
have already been eligible to be counted as intermediate or intensive.
Q. On Intensive assistance to business how vital is GVA and can Intensive
be measured in a different way to GVA impact?
A. We are using the Business Link national definition for consistency so we cannot
change it. If the business cannot provide the necessary information or the assistance
will not result in improved GVA you may need to count the assistance under the
intermediate definition. A baseline GVA should be set based on certified accounts
and then measured again to look at any improvement in GVA after a specified period
of time – usually 12 months later.
Q. There is no minimum level of time defined for Intensive Assistance, is there
any guidance on what this should be.
A. The time isn’t specified as it depends on the amount of work with the company.
Usually this would include a diagnosis and development of action plan, and then the
review of performance/GVA. Business Link benchmark on this is an average of 3
days. We would not really expect the input for this to be less than the Intermediate
requirement of 2 days.
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Brownfield Land
Q. Could the RDA reclaim the land under one project, and then subsequently
redevelop the land under different contract (say a year later). If so could they
claim the area of land twice?
A. No. To do so would be double counting of the same land – the output measures
the land reclaimed and/or remediated. In this case you can count when the land is
reclaimed and not wait until the re-development. Value for money on carrying out
both elements of the work will no doubt be justified in the project objectives and
outcomes, the latter being measured through the project evaluation.
Q. If an RDA sells Brownfield Land they own to a developer and have not done
any direct reclamation and the contract constrains how it can be developed
can the RDA count the land reclaimed as an output?
A. Yes. Provided that there is an enforceable contractual condition e.g. a covenant
which may relate to the use of the land and/or its subsequent disposal. This is
required to protect the RDA’s interests in the use of the land. It must be monitored to
ensure compliance. When considering this as an option the RDA will need to assess
whether it involves disposal for less than best value or a gift – these require
additional BERR approval.
Q. Does the property have to be unoccupied for 1 year before the RDA
involvement or before the physical start of the works? Can we count an output
if the property has been vacant for six months, if we know that work will not
start for at least another six months e.g. time taken for planning permissions.
A. It is the time the property has been or will have been vacant at the start of the
works.
Q. The project involves the compulsory purchase and subsequent vesting of
45 parcels of land for development. The site will be sold to the private sector
and should result in an estimated 22,000 square metres of new business floor
space. Applying the jobs square metre gearing (offPAT) Appraisal Advice Note
1), it is calculated that this floor space would accommodate 825 jobs. The jobs
are not part of the project contract as they will be provided by subsequent
private businesses who occupy the site. However, it would make little sense
not to claim and monitor these 825 jobs as they form a sizeable output for our
investment. Can we claim these jobs as an output?
A. In this example neither the consequent floorspace nor jobs can be claimed as
outputs as they are not a direct result of the projects activities. However, both can be
claimed as outcomes as they are a consequence of the project investment. The
project should forecast its outcomes as well as its outputs. They should then form
part of the vfm assessment during the appraisal and assessing their delivery should
form part of the project evaluation plan.
If the total project included the
purchase/remediation of the land and the subsequent building then the floor space
could be counted as outputs. If the building was bespoke for a specified occupant
and the jobs were a contractual requirement then they could be counted. The ‘rule of
thumb’ should be to include as outputs anything that can be contracted for.
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Public Realm
Q. Definitions for the new public realm output state that and highways are
excluded, but that footpaths do constitute public realm. Unfortunately, my
interpretation is that pavements are highways and therefore out - I take
footpaths to have a particular meaning, i.e. public rights of way. Is this
correct?
A. Under the definition we have agreed that pavements can be classed as footpaths.
Highways are defined as the actual roadway (ie laying tarmac etc).
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Premises
Q. If I regenerate and old multi-storey building, can I count the area of the floor
space?
A. Yes. The output includes upgrading premises and counts the floor space
produced by the project.
Q. Where a project contains a mix of end uses, for example residential and
office components, can the project claim all the floorspace being created or
should it just be limited to the office component.
A. All the floorspace for office and retail can be counted (commercial use) for Single
Programme, but not residential. Please note that if ERDF funding is being used the
retail component also could not be included in respect of the ERDF expenditure.
Q. A developer is currently working up a speculative office development, which
they claim has the potential to house up to 200 new jobs. Should these new
jobs be included as outputs in the Development and Appraisal Form and
subsequent Grant Funding Agreement?
A. No, the jobs in this case are not direct and cannot be counted as outputs. The
achievement of these jobs would be subject to a tenant/occupier being sought and
the developer could not be contracted to deliver these jobs. However, these jobs are
outcomes (SP) /results (ERDF) and should be monitored/evaluated.
To be claimed as outputs jobs must be a direct (able to be contracted for), for
example where the developer pre-lets the development to a specific end user prior to
commencing the project.
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Employment, Education or Training Support
Q. Is there a minimum level of assistance similar to that for Business Support?
A. No there is no minimum assistance intervention value or period.
Q. Job is defined as any employment requiring an employment agreement;
however sole traders will not have this. Can we still count assisting people to
become their own boss?
A. Yes as long as the other definitions of people and assistance are met.
Q. Can the provision of travel information and subsidised travel to interviews
and work by public transport for a short period of time be included under this
output as it falls into category of removing barriers to getting back into the
labour market.
A. Yes. The provision of travel information falls under the information aspect of the
output definition. Provision of subsidised travel for individuals to encourage them to
go to interviews/start work without financial penalty can form part of Employment
Support as long as it does not duplicate Jobcentre responsibilities. Providing support
to individuals should not cause any state aid problems but if the aid is to companies
then the state aid implications would need to be considered.
Q. Can we count assistance to seasonal workers, people on temporary or
short term fixed contracts, or individuals on probationary periods or
placements as in employment at risk?
A. Yes. These groups can be considered to be in “employment at risk” for this
output.
Q. Can projects claim training outputs for homeless people i.e. those without a
permanent address – who are in the project target area?
A. Training provided to homeless people could possibly be counted depending on
the project objectives and the assistance offered under either Employment Support
or Skills if they received a minimum of 6 hours training. The person information here
would either be NFA (no fixed abode) or a homeless hostel.
Q. With A8 migrants coming to the UK, can we include these in project
regardless of how long they have been residents in the country? We have
heard that they have to be residents for 3 years first.
A. Eastern European Accession 8 (A8) countries joined the European Union in 2004.
The UK allowed unfettered access to its Labour Market to new Eastern European
member states in 2004. Migrants from these countries are therefore entitled to enter
UK to work and there is no residency qualification. See also the Q&A on migrants
and basic skills. The 3 years confusion may be in relation to Bulgaria and Romania,
which joined the EU in January 2007 but under tougher conditions than the 2004
cohort, which may last for seven years. In their case the UK has imposed restrictions
details at
http://www.bia.homeoffice.gov.uk/workingintheuk/sbs/bulgariaromainia/eligibility
Q. Can we include asylum seekers who are in receipt of National Asylum
Support Service (NASS) support whilst awaiting decisions about status, in our
NEET and skills outputs?
A. Non asylum-seekers are only entitled to limited support whilst waiting for a
decision on their status by the UK Border Agency (for more information see Asylum
Aid). However, should UK Border Agency decide to i) allow the claim and give them
Refugee Status or ii) the legal indefinite Leave to Remain (ILR status) or iii) give
permission for them to work as they have been waiting for a decision on their case
for more than a year through no fault of their own then they may be included in
project activities and counted.
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Skills
Q. Can we claim skills outputs when the project involves training individuals
who will deliver the project e.g. local authority or partner’s staff?
A. No. The training here is for input resources to deliver the project. The only
exception would be if one of the stated project objectives is to raise the capacity of
delivery in the region.
Q. Where does a full ECDL qualification sit in relation to NVQ equivalents?
A. Information on qualifications can be found on the Qualifications and Curriculum
Authority website http:/www.qca.org.uk
Q. Can we count (1) non UK nationals (2) non EC nationals as beneficiaries for
skills outputs.
A. Yes, if they are resident or working in the region.
Q. In a project to provide work experiences to graduates can the individuals be
included under the skills output as the work experience opportunity offers a
different opportunity for skills development, depending on the company and
project requirements?
A. Not if the objective of the project is to provide work experience not skills training,
it should be counted under output 2 ‘People helped to secure employment, education
or training. If the project objective is skills development then the project focus should
identify this and relate it to the relevant project objective.
Q. Can the six hours training be delivered in modules i.e. not in one day? Can
the six hours training be made up of two separate courses i.e. one learner
attending two different three hour courses on separate subjects e.g. H&S and
First Aid? If a learner does six hours of training with one organisation, and is
then referred on to another and they do a different six hours training with them,
can each organisation claim one output?
A. Assuming the training modules are part of the same project whether by the same
or different training organisations. The output unit is the learner and to count the
individual has to receive a minimum of 6 hours (there is no maximum figure). In the
second example the individual would receive 12 hrs of training but could only be
counted once under the project.
Q. Can projects claim the skills outputs for learners who have been resident in
the UK for less than 3 years? The LSC ESOL can only fund those that have
been resident for 3 years plus, hence the question?
A. Yes. Skills outputs only require that the person receives a minimum of 6 hours
training.
Q. There is some confusion over counting individuals assisted in their skills
development outputs for under 16’s and what is meant by the following
exclusion: ‘Services that are the legal statutory responsibility of other
organisations e.g. provision of statutory education to 16’ Does this mean that
we can’t count skills that are delivered as part of the national curriculum, or
that are delivered in the classroom during normal school hours?
A. The principle here is that the core activities for which the delivery body receives
funds that are voted from Parliament are not ‘topped up’ by other public bodies.
Where a project is additional to those statutory requirements then the individuals
assisted can be counted e.g. where the objectives of a project is to encourage pupils
to take up science subjects through organising science fairs that compliment the
national curriculum then the participants may be counted, if they meet all the other
criteria.
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Q. Are ICT skills now part of Basic Skills?
A. No. The definition of Basic Skills has not changed; it still refers to “functional
literacy and numeracy skills”. The literacy standards cover the skills of speaking and
listening, reading and writing. The numeracy standards cover the skills of
interpreting, calculating and communicating mathematical information. These basic
skills are fundamental to all other learning and skills development. While ICT Skills
are an essential skill for life they fall out with the basic skills definition and so cannot
be counted under this output.
Q. There is a general principle that where a public sector body receives core
funding for its activities then other public sector bodies, such as the RDA’s
should not fund the same activities. As the LSC is responsible for funding
training on basic skills is it appropriate for RDA’s to fund project delivering
basic skills?
A. Yes. As the original output was agreed as part of the RDA Tasking Framework,
the responsible department recognised that while the LSC is the prime funder of
basic skills and other skills outputs (Level 2 qualifications etc.) there will be
circumstances where RDA investments do lever such outputs, either in joint funding
initiatives with LSC’s or where LSC funding is not involved. RDA outputs against
these indicators will be relatively small compared to the local LSC outputs, it will be
for project appraisals to test for project additionality and ensure that the RDA is not
funding something that the LSC should fund.
Q. If an individual already has a numeracy qualification but then achieves a
literacy qualification can they be counted under this output?
A. No, only the first qualification attained by an individual counts for this output.
Subsequent basic skills qualifications do not count.
Q. Can we count prisoners under the basic skills output?
A. Yes. Offenders and ex-offenders are one of the basic skills target groups
identified in the Departmental Skills for Life Strategy.
Q. Can we count migrant workers, now resident in the region, towards basic
skills outputs, if they are attaining basic skills in English as their first
qualification in the UK, when they have already have qualifications in their
country of origin?
A. Acquisitions of functional English Language Skills are included in the ESOL for
Work Qualifications. Migrant workers may be counted where they do not have
functional English and the project objective is to assist them to attain it. Where the
project is using the ESOL for Work Qualification to enable the migrant workers to
attain functional English has funding been sought from the LSC in the first instance?
Useful websites:
 Skills for life Network website – http://www.skillsforlifenetwork.com
 Skills for Life improvement Programme website – http://www.sflip.org.uk
 Skills benchmarking source
http://wwww.isc.gov.uk/providers/data/statistics/success
Q. Is one A level classed as an equivalent for a Level 2 qualification?
A. DCSF confirmed that this is correct for counting numbers towards the Level 2
PSA target.
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Financial
Q. Can we count revenue expenditure as well as capital?
A. Yes, revenue funding received that contributes to the project can be counted.
However, please note that the ERDF Programme is not counting matched funding ,
only private sector leverage (over and above matched funding).
Q. Can sunk costs included within regeneration infrastructure investment?
A. If the sunk costs are an integral part of the development costs to reclaim and
redevelop a site then they may be included, along with other surveys or professional
design costs.
Q. Where HEFCE or LSC provide the funds for a project but channel them
through an HE or FE institution to administer them can we count these funds
as public sector?
A. Yes provided that the funds are not for their statutory functions e.g.
undergraduate/post graduate teaching. In this case the funder would be HEFCE or
the LSC not the institution. In this scenario the HE or FE institutions are only
administering the funds on behalf of the public body providing the funding and are in
effect an intermediary not funding body. It is essential to correctly and accurately
identify who is the funding body. To maintain the project audit trail such funds should
be held in a separate project account by the intermediary and its role and
responsibilities clearly identified.
(However, where the FE or HE institution
contributes to the project costs from its own reserves then that funding is private
sector and it is also a beneficiary its contribution may be counted under the private
sector induced funding).
Q. Can we include money invested by a private sector company if they had to
borrow the money to invest in the project for example by the way of a bank
loan?
A. Yes. The financial statement investment made by the private sector company
can be counted as it is the investment and not the source of the funds which is
material.
Q. Can we include Coalfields Private Sector?
A. Yes. The principle that private sector investment in Coalfields projects could be
included as leverage was agreed previously under Tier 3 outputs.
Q. Can subsequent investment by other public bodies or coalfield sites e.g.
Local Authority, be included in the output?
A. The subsequent public investment on Coalfields has to be considered against 2
scenarios:
i. if the investment is part of the Coalfields project funding with the RDA funding the
site remediation and the local authority funding the infrastructure and buildings then
the local authority funding can be counted.
ii. Where the investment follows after the project to remediate the Coalfield site it is
subsequent investment and is an outcome. It is part of the evidence of the impact of
the RDA’s investment and may be taken into account in assessing the vfm of the
project.
Q. I am slightly confused why FE and HE institutions are classed as private
sector, when their core funding essentially comes from the Public Sector (LSC
and HEFCE respectively), so would appreciate some guidance.
A. The Office of National Statistics (ONS) is responsible for the classification as
organisations as public or private sector. ONS classifies both FE and HE institutions
as private sector as they are bodies corporate FE colleges were designated as
corporate bodies under the Further Education Corporations) Order 1992, it came into
force 28th September 1992. The statutory FE college sector comprises of a number
of different ‘types’ of institutions. Both FE and HE provide statutory services and it is
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these services which are funded from public funds. HEFCE provides the funding for
the statutory services to HEIs, which cover a range of institutions – Universities,
specialist institutions and general colleges; it also directly funds 135 further education
colleges. Most FE colleges get the majority of their income from public sources: on
average 78% comes from the LSC, with 9% from fees from employers or individuals.
Where FE or HE institutions operate commercially e.g. providing bespoke training for
employers, undertaking research for businesses they are operating as an
undertaking. It is therefore essential to establish exactly what the funding is for and
consider whether they are providing:


Statutory educational services (if so they should not be seeking funding from
RDA’s but from LSC or HEFCE) therefore are not operating as undertakings
or:
Commercial services when they are and consider the State aid implications
during development
For ERDF purposes HE/FE count as public bodies.
Q. We are working with a FE College to provide a facility for construction
training. The matched funders are the college (presumably we can class this
as private sector leverage) and the LSC, presumably Public Sector?
A. Yes. The LSC funding is Public Sector leverage as it is an NDPB of DIUS. The
college position is more complicated depending on which type of institution it is but
should generally be treated in the same way as HEI funding of a project and the
same analysis should be taken on the proposed intervention (see answer above).
Q. We are involved in the development of a Higher Education Campus, other
funders include local authorities and HEFCE (a DIUS NDPB), which are
classified by ONS as public sector. The University, is the accountable body, so
presumably as an HE Institution we would classify their contribution as Private
Sector leverage?
A. Yes. The university own funds are private sector as ONS classifies all HEI’s as
private sector bodies. The funds for their core activity (under/post graduate) come
from the public sector. The assumption is that the project is additional to their core
activity otherwise no market failure is being addressed or added value from the RDA
intervention which would preclude its investment.
Please note that HE/FE count as public bodies when considering leverage for ERDF.
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Tourism
Q. For outputs 10 and 11, where the venue or attraction is improved through a
project attracting NWDA funding are we counting the total number of
visitors or just the increase?
A. In these circumstances it is the increase in visitor numbers and spend which
needs to be captured. The methodology used by Tourism/Marketing will look at
overall numbers, so it is essential that baselines are set in the D+A to ensure
increase can be measured. For further information speak to the Tourism Team.
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Changes in Version 4:
Page 3
Inclusion of para 3.4 for clarification of PMS entry requirements
Page 4
Clarification that businesses assisted under ‘universal’ support do not
need to be analysed by sector
Page 8
Under exclusions, clarification that inputs to a project should not be
counted as a job output
Page 12
Skills development – some clarification on eligibility to confirm that the
output supports lifelong learning and includes individuals of all ages or
employment status.
Page 13
Skills development (learning type) – type descriptions for 6 and 8 have
been swapped to bring into line with Outputs annex and PMS
Page 37
Additional Q + A
Page 39
Additional Q + A’s
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