Sustaining and Developing
Fundraising
This document provides examples only. Organisations should develop their own
templates to relate to their working practices
Contents
1.
Understanding Funding Streams – ESF London ..................................................... 3
2.
How to Apply for Funding ........................................................................................ 7
3.
ESF Application Approvals Process - Example ..................................................... 12
4.
Application Form Tips!........................................................................................... 13
5.
ESF Finance Apportioning Costs .......................................................................... 14
6.
Links to Funding Websites .................................................................................... 17
7.
Evaluation Guide ................................................................................................... 20
8.
Evaluation Report Structure .................................................................................. 24
PARTNERSHIPS
9.
Key points in Partnership Agreement .................................................................... 27
10.
Partnership Development Form Template.........................................................................29
11.
Partnership Agreement Template ......................................................................... 31
This document provides examples only. Organisations should develop their own
templates to relate to their working practices
1. Understanding Funding Streams – ESF London
In London the Mayor has responsibility for managing ESF. The administration is
devolved to the European Programmes Management Unit (EPMU) within the LDA.
ESF is distributed in London by five Co-financing Organisations (CFOs). Starting with the
largest:
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The Skills Funding Agency (SFA)
DWP (on behalf of Jobcentre Plus)
London Development Agency (LDA)
The National Offender Management Service (NOMS)
London Councils
Each CFO targets specific Priorities within the overall ESF Framework:
This document provides examples only. Organisations should develop their own
templates to relate to their working practices
The LDA and Skills Funding Agency
For the 2011-2013 programme, the LDA is focusing on the following priorities:
Adult Employment (1.1)
They are aiming to support those furthest from work or study – getting them into work
and keeping them there for at least 12 months and beyond.
Target Clients:
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Incapacity Benefit (IB) claimants / Employment Support Allowance (ESA)
Claimants who are currently not mandated to engage with DWP/JCP mainstream
programmes.
Income Support Claimants – those on income support for over one year
Non-claimants – partners of those on low income/ partners of workless individuals
Basic Skills (2.1)
The LDA has worked with the Skills Funding agency to agree an integrated approach to
commissioning this activity. LDA will develop provision linked to Career Progression as a
way of testing new models of basic skills delivery and informing future policy.
Target clients:

Low paid London workers who are earning below the London Living Wage/ work
or live in one of London’s 32 boroughs or the City of London/ have a diagnosed
basic skills need.
Youth Unemployment (1.2)
The Skills Funding Agency and London Development Agency (LDA) both have an
allocation of ESF funding under Priority 1.2 Employment and skills activities targeted at
young people not engaged in education, employment or training (NEET) or at risk of
becoming NEET.
For the 2011-13 ESF programme nationally, the Skills Funding Agency will act as a
shared service on behalf of local authorities and the Young Peoples Learning Agency
(YPLA). The Skills Funding Agency will be responsible for procurement, contracting and
account management.
To avoid any overlap of provision there is a clear split of responsibility and focus:
1. LDA targeting 16-19 year olds who are NEET (not in education, employment or
training). The LDA has four projects targeting young people:
 Training to Work
 Pan London NEET
 Volunteering into EET
 Opportunities for Vulnerable NEETs
This document provides examples only. Organisations should develop their own
templates to relate to their working practices
2. SFA (through the Young Person’s Learning Agency and the Regional Planning
Group) targeting 14-19 year olds who are at risk of becoming NEET
3. Skills Funding Agency (through National Apprenticeship Service) targeting young
people aged 16-19 who are NEET and at risk of becoming NEET.
They will use ESF to address the needs of young people who are in danger of dropping
out of learning or moving into unemployment, the proposed activities will offer a
combination of support and new experiences.
The activities under development are focused on supporting young people to enable
them to build the self-esteem, skills and aspiration they need to progress into education,
training or employment – and then supporting them to stay there and be successful
London Councils
London Councils ESF Co-financing programme will work on the ESF priority 1.1,
improving the employability and skills of unemployed and economically inactive people.
London Councils specifically aims to fund projects which promote the employability of
excluded individuals in the community. Projects will equip individuals with the personal
and occupational skills they needs to access and compete effectively in the labour
market.
The London ESF Regional Framework also sets out details on ESF Priority 1.3
Community Grants Programme for those groups furthest from the labour market.
The ESF Community Grants programme is worth £4m ESF. Responsibility for cofinancing Community Grants has been agreed in principle to be transferred from LDA to
London Councils, subject to it securing match funding, for the 2011-13 phase of the
programme. At the time of writing (January 2011) match funding has yet to be sources
and agreed.
DWP/JCP
In May 2010 the Coalition Government announced a number of major welfare to work
reforms, including the intention to launch a Single Work Programme through the DWP.
The Work Programme will be introduced from summer 2011 and will replace most
existing programmes including Pathways to Work and Flexible New Deal. Discussions
are currently underway with Ministers to determine how ESF funding can be best utilised
to add value to the Work Programme.
National Offender Management Service (NOMS)
This document provides examples only. Organisations should develop their own
templates to relate to their working practices
NOMS was granted status as a national co-financing body in January 2009 with a remit
to deliver a programme of work across England (a separate ESF strategy is currently
being implemented in Wales). A national NOMS CFO plan including a high level delivery
model specification was approved by the ESF Managing Authority. Although the
programme is managed and resourced centrally, delivery will be on a regional basis to
ensure that local priorities are met.
NOMS is delivering against Priority 1, the focus of the programme is to enhance
participant employability and increase their opportunities to access mainstream provision.
Delivery will be built around a case management model and will operate across both
custody and the community. The Authority will be awarding one Contract for each region
or sub-region.
The underpinning principle is to provide added value by filling gaps in existing services
and supporting offenders/ex-offenders to access mainstream employment and skills
services.
Useful Links:
http://www.lda.gov.uk/work-with-us/funding-and-grants/esf-co-financing/2011-2013/2011-2013programme.aspx
http://www.londoncouncils.gov.uk/grants/esf/default.htm
http://www.co-financing.org/Delivery.html
http://www.dwp.gov.uk/supplying-dwp/what-we-buy/welfare-to-work-services/european-socialfund/
http://skillsfundingagency.bis.gov.uk/providers/programmes/esf/
Return to top
This document provides examples only. Organisations should develop their own
templates to relate to their working practices
2. How to Apply for Funding
The Application Process
The requirements of the Application Process depend on the funding stream (e.g. ESF,
ERDF) and the co-financing organisation. Each co-financing organisation will have
different targets and objectives set out in their Co-Financing plan, and projects must
contribute to achieving this.
In the ESF programme 2008-2010 for example, London Councils specifically stated that
they would only accept applications from organisations that met the following eligibility
criteria:
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Not for Profit: London Councils cannot fund organisations that make a profit.
However, London Councils can fund social enterprises and other organisations
that generate surpluses, as long as the organisation’s governing documents show
that the surplus is reinvested. This must be reflected in the accounts the
organisation provides.
Constituted: Organisations funded by London Councils must have a constitution
or governing document that is signed and dated, and defines how the organisation
will operate. A governing document can be a formal constitution, a memorandum
or articles of association.
Able to work across more than one London borough: The legislation that
governs London Councils only allows it to fund organisations that deliver services
in more than one London borough.
Financially solvent: Organisations funded by London Councils must not have
liabilities that are more than their current assets.
Not a public or local authority body: The legislation that governs London
Councils does not allow it to fund public bodies such as NHS trusts, local
authorities, state schools or colleges.
Prepared to deliver the project in London: London Councils funding is given to
it by London boroughs, to benefit people who live in London. Therefore project
participants must live in London.
They requested specific information from each applicant, which had to be included with
submissions. If this information was not included, they would automatically reject the bid,
without looking at the actual application itself:
-
Two printed and signed copies of the application form with all sections completed
A copy of the application form on CD ROM or USB memory stick
A copy of the organisation’s constitution or Memorandum and Articles of
Association
- The organisation’s current year budget and estimated next year budget (excluding
funds for which they were currently applying)
- A signed copy of most recent audited accounts
- A copy of the Equal Opportunities policy
- Public and Employer Liability insurance certificate copies
This document provides examples only. Organisations should develop their own
templates to relate to their working practices
-
Draft partnership agreements (where it is intended to work in partnership)
Contact details of Partners
Health and Safety policy statement
Referee’s contact details
Only after they were satisfied that the ‘Gateway criteria’ had been met, did they then go
on to score the applications.
Depending on the co-financing organisation, the bidding process may be in one or two
stages. In the London Councils 2008-10 bidding round, it was a single-stage process.
However, the guidance below relates to a previous LDA ESF funding round which was a
two stage process. (The information is taken from the LDA ESF 2007-2010 Prospectus
Two).
Application Stage One:
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Organisations should download and read the prospectus from the relevant website
Organisations will need to register on CompeteFor if they have not already –
www.competefor.com
Locate the opportunity on CompeteFor and complete the online Questionnaire
CompeteFor is an online advertising and pre-qualification tool for organisations wishing
to apply for LDA contracts. There is a separate CompeteFor Questionnaire for each
project specification and each questionnaire has a series of questions which you must
answer in relation to your proposed project. It is important that you answer all questions
accurately.
If you successfully reach the second stage of the application process, your application
will be checked to ensure that you answered all the CompeteFor questions accurately
and have substantiated your answers, where requested, with the appropriate evidence. If
there are material discrepancies or the evidence is inadequate, your application will not
be scored or considered.
Before completing the CompeteFor questionnaire it is important that you read all parts of
this prospectus carefully.
Note there are a number of essential questions in the CompeteFor questionnaire where
there is a required response. If you do not meet the essential criteria then you will not be
shortlisted. The essential questions are listed in the guidance in the questionnaire. A final
score for your questionnaire is generated based on the answers you provide. Following
the closure of the first application stage, the CompeteFor system shortlists potential
suppliers under each of the programme specifications.
The LDA will inform applicants if they have been successful or not.
This document provides examples only. Organisations should develop their own
templates to relate to their working practices
Application Stage Two:
If you have been successful at the first stage you will be notified by email with links to the
following documentation:
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
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Application Form (for the specification for which you have pre-qualified)
Application Guidance
Output Related Funding Calculator.
You will be asked to provide financial and other information in support of your application.
If you are shortlisted for several projects you will only need to provide this information
once. Except when this supporting information is different from one
project to another (e.g. declaration of partnership).
Tips for completing an application:
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Read the application guidance carefully.
Read the ESF Regional Framework document to ensure your project is in line with
the wider policy context.
If you have been shortlisted for more than one project, complete a separate
application for each project.
Ensure the application form you are completing is for the project specification for
which you have been shortlisted.
Each project application must only address one specification.
Carefully consider the relevant project specification and refer to the Key Criteria
(applications will be appraised and scored against this).
Ensure statements are clear and full.
Do not assume assessors will be familiar with your organisation.
Do not exceed the word limits as text beyond the word limits will not be scored.
Do not leave any sections blank.
Ensure that you provide the information asked for in the correct place in the
application form. Any answers relating to a particular question, but spread
throughout the application, will be disregarded and will not be scored at the
assessment stage.
Assessment and Appraisal Process
Assessment and appraisal will be made on the basis of the information provided by the
applicant organisation and also on any internal or external references obtained by the
LDA. The process will ensure that the projects chosen meet the aims and objectives
outlined in the LDA’s ESF Co-financing Plan.
The process for assessment, appraisal and selection of projects will be a multiple stage
process:
This document provides examples only. Organisations should develop their own
templates to relate to their working practices
Stage 1 – Gateway Check
When applications are received, a Gateway Check will be undertaken to ensure it
meets the following minimum criteria:
- All answers and supporting documentary evidence to be in line with the
information submitted at the CompeteFor pre-qualification stage.
- The project application meets the mandatory criteria as set out in the project
specification (this will also be double checked in the full scoring stage).
- All required documentation and evidence have been submitted.
- Applications were received prior to the deadline.
- Applications that do not meet the minimum criteria at the Gateway Check will be
deemed ineligible and will be disqualified.
Stage 2 –Full Scoring Stage
Applications that progress beyond the initial Gateway Check will be scored independently
by two people who will then compare their scores and comments and agree on a final
score for each application. Their scores and comments will be collated and retained by
the LDA. Quality checks will be undertaken to ensure the
scoring is of a high standard and there is consistency of approach.
Scoring Criteria
Each specification has been designed to meet both ESF and LDA criteria.
Applications will be scored against the general criteria that are set out for each priority
and also against the criteria set out within the relevant project specification.
Details of the scoring criteria will be disclosed in the full application stage but it is
likely to include the following:
-
Price
Quality and achievability of the provision and outcomes;
Understanding of the target group;
Links with other projects including any partnership arrangements;
Employer engagement;
Track record;
Capacity and organisational ability to implement, manage and monitor the
project to ESF and LDA requirements;
Integration of cross cutting themes
Stage 3 – Due Diligence Check
Following the full scoring stage the shortlisted applicant organisations will undergo
due dilligence checks. There are three parts to the LDA’s due diligence checks:
verification of track record, assessment of lead partner’s financial viability and a
health and safety check.
Organisations which do not pass the due diligence process will not be
awarded funding.
This document provides examples only. Organisations should develop their own
templates to relate to their working practices
1. Track Record
2. Financial viability
3. Health & Safety
Stage 4 – Moderation Stage
The top scoring applications for each project specification will go forward to the
moderation stage. A Moderation Panel will be held for every project specification.
The panel will include LDA staff and may include external partners.
Panellists are expected to adhere to the terms of reference provided to them.
They will all be provided with summary information on the top scoring applications.
Issues that may be taken into consideration at this stage include:
-
-
track record of providers;
applications which have not met the minimum mandatory criteria as set out in the
project specification and still scored highly;
meeting overall programme target outputs and outcomes and the financial risk of
not meeting targets by awarding too much money to one organisation;
geographical spread of funding across London (for example if two providers are
applying to deliver the same project in the same area then the panel may decide
to fund only one);
sectoral spread of funding across London (for example if two providers are
applying to deliver employer-led training for the same sector then the panel may
decided to fund only one).
The reason that the two final points will be taken into consideration is because
there may not be demand for more than one project in one area or sector in terms
of participants and jobs.
Stage 5 – Appraisal Stage
The moderation panel recommendations will be subject to scrutiny and verification
by an External Appraisal Panel, which will consist of representatives from London’s
other Co-Financing Organisations, the London European Programme Management
Unit, the DWP ESF Division, LDA senior management, senior officers from the
LDA ESF Development and Delivery Teams and other stakeholders. This scrutiny
ensures an objective appraisal of the strategic value of the package of projects
recommended for approval, the value for money this represents, a final reality test
of the proposed activity and scrutiny of providers capacity in light of grant awards
from all CFOs.
Following the external appraisal panel, a recommendation of projects to be funded
will be presented to the LDA senior management (Programme Investment Board)
for ratification.
Return to top
This document provides examples only. Organisations should develop their own
templates to relate to their working practices
3. ESF Application Approvals Process – Example
Applications received by CFO
Gateway Check
PASS
Full Scoring Stage
REJECTED
Shortlisted applications (estimated as 3 times as
many projects as will be funded per specification)
Due Diligence Check (financial,
health & safety and track record)
REJECTED
REJECTED PROJECT APPLICATIONS
Notified by letter and given opportunity
to apply for feedback on application.
PASS
REJECTED
Internal Moderation Panel
RESERVE
APPROVE
D
REJECTED
External Appraisal Panel
RESERVE PROJECTS
Notified by letter and either called on
for funding as below or rejected as
above.
RESERVE
APPROVE
D
REJECTED
CFO Investment Committee
RESERVE
APPROVE
D
Applicant notified of success
CFO does not enter into grant agreement
and may call on reserve projects
Unsatisfactor
y
clarifications
Clarification Stage
Satisfactory
clarifications
Grant agreement/
project delivery
This document provides examples only. Organisations should develop their own
templates to relate to their working practices
4. Application Form Tips!
The following pointers should be taken into account when bidding for funding:
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
How does your project meet the requirements of the specifications as outlined in
the guidance notes of the application form?
How does your project meet local and/or regional needs?
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Who will your partners be? (Give details of their track record as well as yours)
Who will your beneficiaries be and how will you attract, retain and progress them?
(Refer to your EOP for beneficiaries)

What will the outcomes be? (Soft outcomes, hard outcomes, are these realistic?)

How will you manage the project? (Give details of your management structure
paying particular attention to your financial policies and procedures)

Policies:
Equal opportunity for staff and beneficiaries
Health and Safety for staff and beneficiaries
ICT
Sustainability

Monitoring and Evaluation (on-going and final).
Remember that many applications do not make it past the initial assessment stage
because of administrative oversights: it is advisable that at least two people go through
the checklist of documents to be included in the applications to ensure all are enclosed.
Finally, proof read your application once more and ensure that all boxes are ticked and
write N/A where no reply is requested and sign and date the form.
Good luck!
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This document provides examples only. Organisations should develop their own
templates to relate to their working practices
5. ESF Finance Apportioning Costs
When you put together a proposal for funding for a project, there are several factors
which need careful consideration, especially when it comes to working out the budget.
This factsheet will cover some aspects of full cost recovery and apportioning costs.
Full Cost Recovery is based on principles that allow your organisation to cost a project
realistically, i.e. taking in consideration not only the most obvious costs of setting up,
running and delivering the project but also to apportion necessary organisational costs
incurred.
When working out a budget, you will calculate the staffing costs of your project manager,
tutor, administrator…but what about finance officers, receptionist, IT support, ….??
They are just as essential to the successful delivery of the project as the other core
staff, yet their percentage of cost to the project is often not included in budgets.
Not forgetting rent, telephone, cleaning, photocopier, insurance (building and contents,
professional, employers and public liability) costs! How do you apportion these fairly?
Most important of all, have you taken into consideration the cost of your Director who
may not be directly involved in the project but who has, nevertheless, supervisory/
overseeing responsibilities not only for the project but for the organisation overall.
Failure to cost your project fully means you will most likely run into financial
difficulties when you are faced with costs which you have not budgeted for
and therefore which you cannot claim from individual projects. It is therefore
essential that you apportion costs accurately.
Please note that under ESF rules, maternity cover costs cannot be claimed. Also,
monitoring and evaluation costs mut be 100% relating to each project therefore,
obviously, cannot be apportioned.
This document provides examples only. Organisations should develop their own
templates to relate to their working practices
How do you apportion costs?
Here is a tried and tested formula which will help you with apportionment.
First of all you have to calculate the total organisational hours, which means the total
number of hours worked by all members of staff in the organisation:
Director
Project Manager(s) – if more than one, include all
Project Officer(s) “ “
Admininistrator(s) “ “
Finance Officer(s) “ “
IT support “ “
Tutor(s) “ “
IAG Staff “ “
Receptionist “ “
Etc. etc….
You need to find out the total number of hours worked by each member of staff, then add
them all together.
For a full-time member of staff, here is how to go about it:
There are 365 days in a year
52 working weeks
260 working days (52 weeks x 5 working days)
take away: Average number of annual leave:
Annual Bank Holidays:
25 days
8 days
_______
Total 33 days
Left over actual annual working days: 227 (260 – 33)
or
19 working days in a month (227 ÷ 12 months)
or
133 working hours in a month (assuming a 7 hour working day)
or
399 working hours in a quarter.
This document provides examples only. Organisations should develop their own
templates to relate to their working practices
Repeat the same process for each member of staff, adjusting figures for days and hours
worked / annual leave accordingly for part-time members of staff: this is your
organisational total number of hours.
For the purpose of this example, let’s say your organisational total number of hours per
quarter is 2500*.
Now, using the formula above, calculate the number of hours per quarter each member of
staff working on the project has been allocated; don’t forget that, although some members of
staff work full-time, they may only work part-time on a project (i.e. 2 days on one project, 2
days on a different project) therefore you have to calculate the actual number of hours
worked on this particular project. For example:
Project Manager:
Placement Co-ordinator
Admin
Finance Officer
Director (supervising)
__________
Total of staff hours
on project
399 hours (full-time)
300 hours (part-time)
220 hours (part-time)
100 hours (part-time)
30 hours (part-time)
1,049 hours per quarter
We know that the total organisational hours per quarter are 2500*.
We can now use this formula:
1049 (Project Hours)
x 100 = 42%
2500(TotalOrganisationalHours)
42% is your percentage for apportionment.
You can use this percentage to calculate apportionment of other costs to your project, i.e.:
42% of rent, photocopier costs, cleaning, utilities (telephone/gas/electricity), internet…..
Return to top
This document provides examples only. Organisations should develop their own
templates to relate to their working practices
6. Links to Funding Websites
There are useful providers who can do searches of the OJEU (Official Journal of European
Union) on your behalf and send you funding alerts each week based on your specific search
criteria. (Some of these charge a fee however!):


BIP Solutions:
Tenders Direct:
 Supply2gov:
 Skill Fair:
 Compete For:
 Supply London:
 Carley Consult:
www.bipsolutions.com
www.tendersdirect.co.uk
www.supply2.gov.uk
www.skillfair.co.uk
www.competefor.com (for all Olympic Games opportunities)
www.supplylondon.com
www.carleyconsult.co.uk
Also, sign up to alerts from the large funding organisations such as the Skills Funding
Agency, the Young Person’s Learning Agency or get specific info on the European Social
Fund:

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SFA:
http://skillsfundingagency.bis.gov.uk/WebAlerts/
YPLA:
http://www.ypla.gov.uk/WebAlerts/SubscriberDetails.htm
ESF:
http://www.esf-works.com/
LDA:
http://www.lda.gov.uk/login/index.aspx?goto=/my-account/index.aspx
London Councils: http://www.londoncouncils.gov.uk/keyissues/default.htm
The following list can be used for carrying out manual searches. It is not exhaustive however,
and should be used as a starting point for organisations to conduct their searches and to add
to their own search lists.
National Organisations
Big Lottery
Fund
DWP
http://www2.biglotteryfund.org.uk/index/fundinguk.htm?order=openDate&x=6&y=9
https://biglotteryfund.bravosolution.co.uk/web/login.shtml
http://www.dwp.gov.uk/supplying-dwp/what-we-buy/welfare-to-workservices/opportunities-to-tender/
http://www.dwp.bravosolution.co.uk
CLG
www.communities.bravosolution.co.uk
Capacity
Builders
http://www.capacitybuilders.org.uk
This document provides examples only. Organisations should develop their own
templates to relate to their working practices
SFA
https://skillsfundingagency.bravosolution.co.uk/web/login.shtml
LSIS
http://www.lsis.org.uk/WorkingWithLSIS/Opportunities/Tenders/Pages/d
efault.aspx
Lifelong
Learning
http://www.lluk.org/tenders.htm
DCSF
http://www.dcsf.gov.uk/research/
CWDC
http://www.cwdcouncil.org.uk/tenders
London
LDA
http://www.lda.gov.uk/work-with-us/tenders-and-procurement/tenders/
London
Councils
http://www.londoncouncils.gov.uk/aboutus/corporateinformation/invitationt
otender/default.htm
London
Tenders
https://www.londontenders.org/procontract/supplier.nsf/frm_home?openfo
rm
Regional
SEEDA
http://www.seeda.co.uk/Procurement/Current_Tenders/
EEDA
www.eeda.bravosolution.co.uk
EMDA
http://www.emda.org.uk/itt/default.asp?nav=04
NWDA
http://www.nwda.co.uk/working-with-us/supplying-nwda/currenttenders.aspx
One North East
SWRDA
https://onenortheast.bravosolution.co.uk/web/login.shtml
http://www.southwestrda.org.uk/working_for_us/tendering.aspx
Creative & Arts
NESTA
http://www.nesta.org.uk/about_us/working_with_nesta
Arts Council
http://artscouncil.g2b.info/
This document provides examples only. Organisations should develop their own
templates to relate to their working practices
I&DeA
http://www.idea.gov.uk/idk/core/page.do?pageId=672341
General Arts
Links:
www.artangel.org.uk
www.awardsforall.org.uk
www.bloomberg.com
www.britcoun.org/arts/index.htm
www.gulbenkian.org.uk
www.cbat.co.uk
www.commissionseast.org.uk
www.craftscouncil.org.uk
www.creativeskills.org.uk
www.helixarts.com
www.henry-moore-fd.co.uk
www.isisarts.org.uk
www.jerwood.org.uk
www.paceprojects.org
www.pmf.org.uk
www.princes-trust.org.uk
www.rhfoundation.org.uk
www.visitingarts.org.uk
www.wellcome.ac.uk
USEFUL LINKS FOR CREATIVES LOOKING FOR ANGEL INVESTMENT:
www.angelinvestmentnetwork.co.uk
www.bbaa.org.uk
European Opportunities
CORDIS
http://cordis.europa.eu/en/home.html
Leonardo
http://www.leonardo.org.uk/page.asp?section=000100010020&sectionTitle
=How+to+Apply
Interreg
http://www.nweurope.eu/
DG
Employmt
http://ec.europa.eu/enterprise/newsroom/cf/newsbytheme.cfm?displayTyp
e=fo&fosubType=p&lang=en
TED
http://ted.europa.eu/Exec?Template=TED/editorial_page.htm&DataFlow=
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templates to relate to their working practices
7. Evaluation Guide
Most funders require some kind of evaluation of projects. There are different kinds of
evaluation and different approaches to it. It is all too frequently seen as an additional task
that has to be done for funding compliance at the end of a project. However, with regard to
the quality of an organisations’ delivery, evaluative practices can be embedded that not only
assist with evaluation reports, but that can help develop and improve practice. It can facilitate
reflection on work - ‘holding up a mirror to the process’, so that there is opportunity to, where
necessary, adjust and improve. It therefore has clear connections to quality and good
practice.
The following are some suggested ‘Principles of Evaluation’1:
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Enquiry (methods)
Competence
Integrity / Honesty
Respect for People
Responsibility (for general and public welfare incl. taking into account diversity of
interests and values).
Evaluation is primarily about ‘valuing’ a project or piece of work. In order to do this it first
needs to set out what the evaluation will be looking at and how it will consider whether aims
and objectives have been met.
There are a number of interlinked strands to the task of evaluation:
 Recording and reviewing progress against aims & objectives with regard to project
delivery
 Evidencing the learning of the programme through capturing impacts, innovations,
good practice, lessons, etc.
 Highlighting main findings (achievements and learning) and any recommendations.
Many projects consider evaluation from the outset. This can take the form of an Evaluation
Plan or Quality and Evaluation Framework (QEF). This will need to outline the purposes
and methods of evaluation and review. It should detail the project aims and align these with
evidence or indicators (Key Performance Indicators) of how success will be measured in
achieving these. It can also tie in evaluation methods, sources, timescales and
responsibilities.
Organisations are required to carry out various kinds of monitoring, for example of numbers
of clients / beneficiaries, ages and ethnicities. Keeping consistent and regular data on
projects is vital for evaluation providing basic data or evidence. This might include:
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Beneficiary / participant information
Session / workshop / delivery records
Meeting minutes / records
Summarised from the American Evaluation Association
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templates to relate to their working practices
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Project documentation
Project publicity.
Methods / Methodology
The methodology is the way in which an evaluation is approached and the methods that are
employed to find out and record information about a piece of work. To undertake an
evaluation it is likely that a range of methods will be used that will include both quantitative
and qualitative types. These will give different kinds of information that together can form a
more complete picture. It is vital to think about what you are trying to find out and how you
might best do this.
In selecting methods it is important to consider the time, resources and practicality involved.
For example it is relatively easy to design a feedback form however many people do not fully
think about what they will do with the information (data) this will generate. Evaluation and
research methods include:
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Surveys
Feedback forms
Interviews (telephone or face to face, formal or informal)
Observations
Focus groups
Case studies.
Questions an evaluation can ask:
 What has worked and why?
 What hasn’t worked and why?
 How have any issues been tackled / overcome?
 How has the project management worked?
 What are the key lessons that have been learnt?
 Have there been any unexpected outcomes?
 How might the achievements of the programme be taken forward?
An evaluation will also need to evidence how it has found out about the project (methods)
and what evidence there is to support any impacts, results, outcomes or benefits.
Some funders give a form or template for evaluation. Where this is not available the following
is a suggested basic structure which can be adapted for use.
1. Contents
A contents page listing all the sections of the evaluation report
2. Executive Summary
A brief summary of the report including key findings and recommendations.
3. Introduction – Project Rationale
This section needs to introduce the project and the evaluation. It may be appropriate
to include some background information such as policy context. The overall project
aims and objectives should be clearly summarised as well as any targets. It might
include reference to the project inception and details of funding.
This document provides examples only. Organisations should develop their own
templates to relate to their working practices
The evaluation aims, requirements and methods will need to be laid out unless they
are included in a separate section. There will also need to be an explanation of the
methodology used; that is the approach to the evaluation and what methods of enquiry
and collecting information were used.
4. Project Management
This refers to how the project was managed including organisations involved and roles
and responsibilities. If the project was delivered by a partnership then this will need to
be detailed including arrangements for contracting, monitoring and review. The
relationship between the project management and the delivery is of interest including
aspects such as marketing, how issues were resolved, relationships with outside
agencies, etc.
5. Project Delivery
This will need to describe in more detail the delivery; how it was planned and
organised, what was delivered and how this ran. It is of interest if there were any
particular issues arising or examples of good / successful practice.
6. Outcomes and Outputs
It will also need to assess the actual delivery against any outputs / outcomes and
therefore against its achievements in meeting the overall aims & objectives.
7. Findings and Recommendations
What are the key findings and themes arising from the evaluation? What are the main
lessons or learning points? What worked and what didn’t? Are there any
recommendations to be made regarding related future work?
8. Appendix
Include any relevant documents, references, evaluation tools, diagrams, etc. that are
important or referred to in the main body of the report.
This document provides examples only. Organisations should develop their own
templates to relate to their working practices
Glossary
 Internal – an evaluation that is undertaken by the organisation also involved in
delivering the work.
 External – an evaluation undertaken by an independent person or organisation
 Summative – an evaluation that is designed to reflect on the whole of a programme or
project
 Formative – evaluation that is intended to inform a programme or project as it
develops
 Qualitative – this refers to data that is not numerical but instead concerned with views
and opinions, that is the ‘quality’ or characteristics of things.
 Quantitative – this refers to data that is numerical and therefore more easily
measurable (quantifiable) than qualitative data. It often concerns larger numbers
(samples) of people or data.
 Indicators – these are the evidence or pointers of whether something has been
achieved.
 Evidence – this is the information or data that helps to form a conclusion.
Links to General Advice on Evaluations
http://en.wikipedia.org/wiki/Evaluation
http://www.ces-vol.org.uk/
http://www.ces-vol.org.uk/index.cfm?pg=112 – Free resources
http://www.philanthropyuk.org/AGuidetoGiving/Howtogive/Impactevaluation
http://www.neweconomics.org/sites/neweconomics.org/files/Prove_It.pdf
http://ctb.ku.edu/TakingActionInTheCommunity.aspx#Evaluate
http://www.evaluation.org.uk/resources/online-resources.aspx
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8. Evaluation Report Structure
Contents Page
Acknowledgements
Thank organisations and people who have contributed to the report
Executive Summary
Summary of the entire report in no more than 2 pages.
1. Introduction
Give a brief introduction to the project and purpose of the evaluation.
2. Rationale for the Project
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Why was the project delivered?
Why is it important?
Give an overview of the project and its structure? Has this changed?
What are the aims and objectives of the project (Itemise them)
What is the intended impact?
How is support being delivered? Is there a partnership? How is this structure? Give
details of organisations in the partnership, and their role and expertise.
When did delivery begin and end? Did timescales change?
Are there any policies or strategies which the project links with?
3. Aims and Objectives
 What are the overarching aims and objective of the project?
 What are the milestones and profile targets set for the project.
 If revised please describe how this has changed.
4. Evaluation Methodology
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Describe what research methods are used to gather evidence for the evaluation.
What aspects of the project were being evaluated?
Which groups are being included? How was evidence gathered from each groups?
Were there any changes to this? Any difficulties?
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templates to relate to their working practices
5. Project Outputs
This section should discuss structures and procedures of the project and how well this
has worked. The following questions should be asked about a number of areas for each
of the headings given.
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Communication
Support from Project Managers etc
Ability to deliver
Issues that have arisen and the impact this has had
How problems were solved
Other
Areas of best practice identified.
5.1. Project Governance
5.2. Project Partnership
5.3. Project Partners
5.4. Barriers to Success and Solutions
5.5. Project Success Stories
6. Delivery of the Project
This section should detail how well the project has progressed in terms of its delivery and
overall impact.
6.1. Delivery of Training
Here profile delivery outcomes and outputs should be compared with their achieved levels.
Reasons for under or overachievement should be given.
6.2. Soft Outcomes
This term relates to intangible outcomes of the support that are not measures by outputs or
outcomes inbuilt within the project. This should be described. Examples of Soft outcomes
are:
 Interpersonal skills
 Organisational skills
 Increased confidence
 Motivations
 Time management
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templates to relate to their working practices
6.3. Retention
Details should be given about the level of beneficiaries leaving the project. Reasons for the
project should be given as well as strategies that could reduce this.
7. Cross Cutting Themes
Crosscutting themes for ESF projects typically cover Equality and Diversity, Sustainable
development and ICT. Other areas such as health inequalities and promoting safer, stronger
and more cohesive communities have also been known to be cross cutting themes in
projects.
The evaluation should itemise how the project has worked towards these elements. Evidence
can be given in terms of policies that are in place, strategies that have been engaged into
recruitment and support of beneficiaries, background of beneficiaries engaged into the
project.
7.1. Equality and Diversity
7.2. ICT
7.3. Sustainable Development
8. Learning Points and Recommendations
The report should conclude with a brief summary of the evaluation and provide
recommendations for future projects with a similar remit. This section should have also
acknowledge any areas of difficulty or success in project delivery and further support or
provision that would be beneficial to the project’s target group.
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PARTNERSHIP WORK
9.
Key points in Partnership Agreement (Lead and Delivery Partners)
for projects funded by London Councils through ESF
1. Who are the partners?
Lead Partner:
Delivery Partner(s):
a)
b)
c)
d)
2. Roles and responsibilities of Lead Partner
3. Roles and responsibilities of Delivery Partner(s)
4. Timescale for delivery of project:
Start date: Completion date:
5. Policy Statements on cross-cutting themes
Equal opportunities
Sustainable Development
Health
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templates to relate to their working practices
6. Monitoring
Types of records to be kept , Responsibility for record keeping
7. Deadlines for submission of reports
Submission of reports by Delivery Partners to Lead Partner:
Submission of reports by Lead Partner to Funders:
8. Guidance for dispute resolution
9. Termination of Partnership Agreement
10. Finance and payments
Lead Partner Amounts to be paid Time of payments:
Delivery Partner:
Delivery Partner:
11. Auditing of accounts
Lead Partner
Delivery Partner(s)
12. Agreed by:
Name of organisation Approved signatory
(name & signature)
Role on project
Date
Lead Partner:
Delivery Partner:
Delivery Partner:
Delivery Partner
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10.
Partnership Development Form Template
Your responses to this questionnaire will be used in shaping the bid for this application.
Please complete it as fully as possible and add any additional information that you think might
be relevant to the bid in the final box.
Title of bidding opportunity, funding
body, funding stream
Submission deadline
Lead Organisation
Name of Partner Organisation
Contact Name
Address
Email
Contact Tel. No.
1. Project aims and Objectives
e.g. LDA ESF Youth Procurement Round III
2. What are your organisation’s main aims and objectives with respect to young
people?
3. What is your main area of interest in this project?
4. What are your responsibilities with respect to NEET or at risk of NEET young
people?
5. What services does your organisation provide for NEET or at risk of NEET young
people and/or their families? (Note that the specification asks us to describe how
we can provide holistic support to the young person and their families).
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6. Do you have partners who deliver services on your behalf for NEETs or those at
risk of becoming NEET? Who are they and what services do they provide?
7. Do you provide services specifically targeted at any of the following target
groups? (Please indicate which?)
Care leavers
Those with parental or care
responsibilities
Substance users
Homeless young people
BME groups
Recent migrants
Young travellers
Disabled young people or those
with mental health problems
Young offenders
Young people in Pupil referral
Units
Refugees
Briefly describe the nature of services you provide for any of the categories ticked.
8. In which boroughs do you deliver service? Please state whether you receive
referrals from other boroughs, what the services are and specify for which
boroughs?
9. How do you engage with young people who are NEET or at risk of becoming
NEET?
10. Do you or partners on your behalf offer mentoring for young people? Please
describe the offer as fully as possible.
11. What other projects do you have running which might complement this one, or
could be complemented by it?
(Please name each project, state how it is funded e.g. LSC core funding, LDA or LSC ESF,
or other source and then offer a brief description of its beneficiary group, main activities
and outcomes)
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templates to relate to their working practices
12. Does your organisation offer Apprenticeships, have plans to offer them or do you
have partners that offer them on your behalf? What sectors can you offer
Apprenticeships in?
13. Does your organisation have any links with the National Apprenticeship Vacancy
Matching Service (NAVMS)? Please describe them.
14. Track record – Please describe your performance in the delivery of two recent
projects related to the NEET client group, placing particular emphasis on any that
have been delivered in partnership with any of this project’s intended partners.
15. Please list any quality marks held by your organisation including Matrix
accreditation.
How many staff do you have who are CRB /advanced CRB checked?
16. Further information. Please include here any further information about your
organisation and its partners that you think might be relevant to this bid.
11. Partnership Agreement Template
(Insert Project Title) Partnership Agreement
1. Introduction
This Partnership Agreement sets out a framework agreed by (insert lead partner name) and
(insert name of other organisations). This partnership agreement describes the principles of
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templates to relate to their working practices
the partnership, processes and structures which are linked to the partners’ shared goals and
objectives. It outlines how the partners will work together to (insert objectives of project).
The Annex of this Partnership Agreement details the Service Level Agreement that is
customized to fit the responsibilities and targets for each delivery partner.
2. Aims of the Partnership
The (insert name of partnership) is formed to deliver the outputs and outcomes defined in the
Project Delivery Plan that has been agreed with key stakeholders including the (insert
funding body name).
3. Roles and Responsibilities
To enable effective operation of these partnership arrangements, all parties agree to
recognise and respect each other’s roles and functions which are distinct but complimentary.
 Insert lead org name and responsibilities
 Partner name and responsibilities
 Partner name and responsibilities
 Partner name and responsibilities
 Partner name and responsibilities
 Partner name and responsibilities
*Note: roles and responsibilities to be further defined once Delivery Plan is agreed
and milestones and targets are set.
4. Shared Approach
This partnership agreement is underpinned by considerable shared values and common
purpose. In particular partners:
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are committed to a project that provides (insert specific aim of project)
committed to (insert wider aim and impact of the project)
will work collaboratively to develop and promote (insert details)
have a shared commitment to continuous improvement, including access to high
quality service and delivering value for money.
 believe that the (insert name) project should promote good practice in all areas of
project management, staff management, (management of beneficiary) and a
commitment to high-quality and responsive service delivery.
5. Principles for Effective Joint Working
To deliver partnership working successfully it is important to develop good formal and
informal relationships that build trust and share responsibility, whilst respecting difference.
To facilitate this, all parties commit to following principles in their dealings with each other:
This document provides examples only. Organisations should develop their own
templates to relate to their working practices
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building trust and a mutual respect for each other’s roles and responsibilities
openness, honesty and transparency in communications
top level commitment
a positive and constructive approach
commitment to work with and learn from each other
early discussion of emerging issues and maintaining dialogue on policy priorities
commitment to ensuring high quality outcomes
where appropriate, confidentiality and agreed external positions
make the best use of resources
ensuring a no surprise culture
6. Benefits
Effective partnership working has the potential to produce some important benefits for all
parties. These include:
 delivering improved services to (insert beneficiaries)
 improved mutual understanding
 an opportunity for partners to contribute their experiences and ideas to the
development and implementation of (project outputs)
 more effective implementation of policy
7. Working Arrangements
i)
Project Steering Group
The project steering group (PSG) will be formed ensure transparent and objective
governance and will give direction to task groups progressing each phase of the project. It
will comprise of partner representation and will include "special members" with particular
emphasis on bringing additional expertise to support elements of the programme.
Members of the Steering Group comprises of: (to be completed at project set up stage)
ii)
If appropriate, insert details of beneficiaries who will also form part of the steering
group
To ensure full and equal participation a (insert beneficiary details) representative will sit on
the PSG to ensure cross-fertilisation of information. The steering group will be responsible
for inputting into the management and delivery of the project and for managing a budget in
relation to project delivery.
Members of the Steering Group comprises of: (to be completed at project set up stage)
The Lead Partner and the Partners undertake to carry out the work programme as set out in
this agreement relating to the project entitled: (insert project name)
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This agreement governs relations between the Contractor and the Partner as well as their
respective rights and obligations with regard to their participation in the project.
The scope of this agreement and the work programme relating to it are set out in detail in the
annexes, which form an integral part of this agreement and which each party declares to
have read and approved.
8. Duration
This agreement shall take effect from the (enter date) for a period of (number of months) and
ends on the (enter date).
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