Guidance

NDA group Socio-Economic Grant Funding Programme: Practitioners Guidance

Updated 31 March 2025

1. Introduction

This guidance is intended for people who administer NDA group [i]socio-economic funding. It provides a consistent approach to managing, measuring and reporting on our grant programme.

This document is for internal practitioners use only. An associated guidance for applicants is published on gov.uk.

This guidance is mandatory for all organisations captured by the NDA’s Socio-economic powers (as set out in section 10(2)c of the Energy Act (2004)).

The approach described in this document is intended to encourage:

• A consistent approach to administering grant funding across the NDA group, including use of the Grant Management System.
• Better project selection: ensuring those proposals support NDA group objectives and are consistent with the NDA Social Impact and Communities Strategy.
• Better measurement of outcomes: the ability to objectively measure and report the social and economic impacts of our grant giving programme.
• Better reporting: Reporting at a group level, giving a more accurate reflection of the significant social impact being made across NDA communities.
• Better communications: Of the benefits of our socio-economic grant giving programme to both internal and external audiences.
• An improved reputation and improved stakeholder relations.

This guidance provides details of the following:

• The NDA group socio-economic programme
  • What it is and why it exists.
  • Who we can fund (including geographical boundaries).
  • What we can fund.
  • What we cannot fund.
  • How we make decisions.
• The funding process and expectations of practitioners at each stage.
  • Introduction to the application process.
  • Requirements of Small, Medium, and Large applications.
  • Due Diligence.
  • Assessment and Decision Making.
  • Approval and Award.
  • Monitoring and Reporting.
  • Evidence of Spend and Delivery.
  • Payment of Grants.
  • Budget Management and Monitoring.
  • Change Control.
• HMG Green Book Compliance.
• Other legal and regulatory matters.
• Roles and responsibilities.
• Practitioners ‘Quick List’.

Practitioner notes appear throughout the document. These are intended to help those administering the socio-economic programme and using the Grant Management System (GMS) to do so consistently. These are summarised in a ‘Practitioners Quick List’ in Chapter 7.

2. The NDA group Socio-Economic Programme

2.1 What the NDA group socio-economic programme is and why it exists.

The Energy Act (2004) provides the NDA with the unique legal duty to have regard for the impact of its activities on communities living near its sites, as well as the wider responsibilities all public bodies have under the Social Value act (2012).

The NDA’s function in this regard is underwritten in s.10(2)c of the Energy Act, which states: ‘the powers of the NDA include, in particular, power to make grants or loans to persons undertaking activities that benefit the social or economic life of communities living near designated installations, designated sites or designated facilities or that produce other environmental benefits for such communities’.

To this end, the NDA group operates a grant-giving programme which is managed in partnership with our Operating Companies.

Our Social Impact and Communities Strategy (2024) sets out a framework for our grant-giving programme including identification of our priority areas. It has been drawn up in consultation with local authorities and other key stakeholders and sets our main priorities.

The funding provided by the NDA through our grant-giving is intended to ensure that our decommissioning work leaves a positive long-lasting legacy in our local communities. To do this, we fund projects which align with the following strategic themes:

• Resilient economies – enabling and supporting the conditions for local economic output, improved productivity, and growth.

• Thriving communities – enabling and supporting the conditions for social cohesion, supporting disadvantaged groups and other social benefits.

• Sustainable incomes –improving aspirations and access to work through a programme of high impact education, skills, personal development and employability support activities.
• Sustainable growth - reflecting the importance of the climate agenda and working to achieve economic, social and competitive advantage for our nuclear communities by integrating sustainable growth into our socio-economic interventions.
• Social value chains – working closely with our suppliers to create social impacts with our supply chain.
• Collective impact - leveraging social impact and investment by working with our stakeholders, partners and communities to practice an integrated approach and culture of delivery.

This guidance covers three categories of funding:                                                        

• Small projects – NDA group contribution up to £10,000.
• Medium projects – NDA group contribution between £10,000 and £200,000.
• Large projects – NDA group contribution over £200,000.

Our funding principles apply to all three of these categories, but we apply our governance proportionately.

2.2 Who We Can Fund

We will only support projects that are near one of our sites. This is generally defined as being within a reasonable travel-to-work distance of an NDA site and would normally be within the local authority area where the site is located. The district council area where each site is located is as follows:

• Berkeley (Gloucestershire)
• Bradwell (Maldon)
• Chapelcross (Dumfries and Galloway)
• Dounreay (Caithness and North Sutherland area of Highland)
• Dungeness A (Folkestone & Hythe)
• Harwell (Vale of White Horse)
• Hinkley Point A (Somerset covering Sedgemoor, Somerset West & Taunton)
• Hunterston (North Ayrshire)
• Low Level Waste Repository (LLWR) (West Cumberland - formerly Copeland)
• Oldbury (South Gloucestershire)
• Risley (Warrington)
• Sizewell A (East Suffolk)
• Sellafield (West Cumberland - formerly Copeland and Allerdale)
• Trawsfynydd (Gwynedd)
• Winfrith (Dorset)
• Wylfa (Isle of Anglesey)

“Additionally projects close to the Sellafield office at Risley, Warrington may be funded under the Sellafield Social Impact Multiplied (SiX) programme”.

Within these geographical restrictions, the NDA group can fund organisations provided they are compliant with subsidy control rules and are one of the following:

• Constituted community/voluntary/charity groups - local branches of national charities are only eligible if money raised is spent locally.
• State funded education providers or pre-school groups (outside of statutory provision or the obligations of other public authorities or departments).
• Public sector bodies.
• A company (but support must be compliant with Subsidy Control Rules). We reserve the right to take or require legal advice before determining eligibility for companies.

The NDA group cannot fund private individuals.

NDA will not accept applications from organisations that have previously received NDA Group funding and failed to comply with our conditions (e.g. completion of end of project reports, evidencing spend etc).

2.3 What we can fund

All funding is allocated via an application and governance process. Applications should be made using the appropriate NDA group form via the online portal. It is important that applications provide a clear explanation of what a project is, what it seeks to deliver and

what benefits will be gained from funding a project. Full details of costs, timescales and delivery plans are required for us to make good investment decisions.

The NDA can provide funding for both capital and revenue elements of projects subject to clear explanation of how funding will be used being provided in the application.

The NDA will consider funding feasibility studies and work to develop business cases for large projects where an application demonstrates clear links to strategic priorities and future delivery potential.

In common with much of the public sector, the NDA works within annual budget allocations. The NDA may consider multi-year commitments where there is a clear and robust business case with a delivery profile spanning multiple years, and subject to future budget availability.

2.4 What we cannot fund

The following activities are ineligible for funding:

• Spend that does not meet project objectives.
• Spend on benefits delivered outside of our geographical boundaries.
• Religious or political benefits.
• Aims that are contrary to UK Government policy.
• Paid for lobbying:
  • which means using grant funds to fund lobbying (via an external firm or in-house staff) in order to undertake activities intended to influence or attempt to influence Parliament, Government or political activity; or attempting to influence legislative or regulatory action.
  • using grant funds to directly enable one part of government to challenge another on topics unrelated to the agreed purpose of the grant.
  • using grant funding to petition for additional funding.
• Expenses such as for entertaining, specifically aimed at exerting undue influence to change government policy.
• VAT that the applicant can recover.
• Activities that other organisations (eg Local Authority/Local Education Authority/National Charities) have an obligation and/or statutory duty to provide.
• Payments for works or activities which the grant recipient, or any member of their Partnership has a statutory duty to undertake, or that are fully funded by other sources.
• Sponsorships to individuals or groups and other activities raising money for 3rd parties.
• Loan payments.
• Interest payments or service charge payments for finance leases.
• National charities where funding is collected and administered centrally, exceptions may be made where local branches raise and spend their own funding.
• Hospitality, awards, sponsorships or the purchase of tables at events.
• Prizes or associated costs for fundraising events.
• Retrospective expenditure.
• Gifts.
• Statutory fines, criminal fines or penalties.
• Bad debts
• Payments for unfair dismissal or other compensation.

2.5 How we make decisions

Small projects up to £10,000

NDA, NRS, Sellafield and NWS each have their own panels which make decisions to fund small projects.

1. Applicant submits project
2. Final decision by appropriate panel in Operating Company

Medium projects between £10,000 and £200,000

All medium-sized projects are assessed by an advisory panel managed by the relevant Operating Company. The final decision is taken by a person or committee with the appropriate delegated financial authority within the Operating Company.

1. Applicant  submits project
2. Considered by the OpCo panel
3. Final decision by delegated budget holder

Large projects over £200,000

All large projects are assessed first by an advisory panel managed by the relevant Operating Company. If supported, the project then passes to a “One NDA Socio-economic panel” which brings together relevant representatives and experts from the NDA businesses. The panel is also advisory in nature. The final decision is then taken by a person or committee with the appropriate delegated financial authority within the Operating Company.

This single One NDA approach means that all decisions are made on the same basis across the estate.

1. Applicant  submits project
2. Considered by the OpCo panel
3. Considered by the One NDA panel
4. Final decision by delegated budget holder

Terms of Reference for decision-making

Every decision-making panel or body must have a terms-of-reference which clearly defines the governance structure to be followed when approving grants. These should include as a minimum:

• Responsibilities and delegated authorities
• Membership
• Quorum

NDA should centrally retain copies of terms-of-references for each panel.

3. The funding process and expectations of practitioners

3.1 Introduction to the Application Process

Applicants are encouraged to discuss potential projects with the appropriate Socio-Economic Team prior to making an application.

As a publicly funded body it is important that we apply good governance and demonstrate that our funding is used effectively. All projects need to be supported by an application for funding using the appropriate NDA Group application form. This will normally be done via the online application portal. However, efforts should be made to accommodate alternative application options if an applicant requires it.

Practitioners note: Projects should only be progressed through governance if a complete application has been received in accordance with this guidance and associated documents.  Use of the Grant Management System is mandatory for all applications.

The Grant Management System is set up to flag any potential for duplicate applications to be made to multiple Operating Companies. If such a flag appears in the GMS, practitioners must discuss this with the relevant Operating Company to ensure there is no potential for duplicate funding. This discussion should be recorded in a file note in the GMS and the decision-making panel advised.

The level of detail required from applicants is proportionate to the amount of funding requested. For this reason there are two application forms covering small and medium/large funding requests.

Whilst information and governance requirements are applied proportionately, the requirement of applicants to demonstrate funding need and provide evidence that funding has been used as intended is mandatory for all projects.

3.2 Requirements of Small, Medium and Large Applications

Small Applications

Small applications up to £10,000 require a shortened application form to be completed. This form fulfils the basic requirements for any project to be considered. This includes:

• Project summary
• Outputs
• Measures/targets
• Funding details
• Legal requirements/obligations

Details of what is required for each section can be found in the application form.

Medium applications

In addition to the basic project information described above; medium and large applications are required to follow the HM Treasury Green Book five case model. This requires an assessment of the following:

• Strategic case
• Economic case
• Commercial case
• Financial case
• Management case

Further information on the requirements of each of the 5 cases can be found in section 3.

Large applications

Large applications must provide the same information as required for medium projects with the addition of a stand-alone business case following the 5-case model. If a project business case does not exist, applicants are advised to discuss this with the relevant Group Socio-Economic Team before applying. In such cases the practitioner must ensure that sufficient detail is provided to satisfy each of the 5 cases. This information may be included in the application form or in separate documentation which must be stored in the GMS. The detail must be presented to the ONE NDA Panel as part of the normal governance for large projects.

Guidance on business case requirements can be found in the HM Treasury general rules for project appraisal, sometimes known as the “Green Book”.

Practitioners note: It is the responsibility of the Socio-economic teams in each NDA Operating Company to ensure the completeness of applications (and associated business case if a large

project) before submission to the appropriate decision-making body. Further evidence can be obtained from the applicant if needed. The socio-economic teams may decide not to progress an application where there is insufficient information available. If this is the case, this decision should be communicated to the applicant. Details on the requirements of each element of the HMG 5-case model can be found in section 3.

3.3 Due Diligence

A degree of due diligence must be carried out on every applicant irrespective of the value of funding applied for. The extent of the due diligence required will be proportionate to the level of funding requested. Small applications require basic checks.  Additional checks should be carried out for medium and large applications. These checks should be recorded in the Due Diligence tab in the GMS.

The due diligence checks identified below are based on Cabinet Office and Grants Centre of Excellence guidance

Basic Checks

• Is the applicant registered at Companies House/registered charity/educational establishment/any other type of organisation?
• Are there any Charity Commission investigations underway on the applicant?
• Are accounting submissions up to date and on time?
• Can you confirm that the person identified on the application form is a Director/Trustee/Person of Significant Control/Named Person within the company? “This is particularly relevant for small and medium sized organisations”.
• Has the applicant previously received NDA Group funding?  If so, were all mandatory requirements complied with and did the project deliver as expected?

Additional Checks

• Does the applicant have a web presence?
• Is there any negative publicity linked to the applicant, or associated individuals (based on open-source research)?
• Is the applicant active?  i.e. do the checks on the accounts and open-source research combined suggest that the applicant is a live entity?
• Are there any signs that the applicant is in financial difficulties? E.g. in administration or liquidation, proposal to strike of Charity Commission register, profit warning etc.
• Does open-source research confirm the same address, contact numbers and personnel as those listed on the application form?

For medium and large grants, applicants are required to submit their most recent financial accounts. These should be forwarded to the finance representative on the appropriate decision-making body who should review and flag any cause for concern. If necessary additional information may be requested by the finance representative in order that they can be satisfied of the applicant’s financial status and suitability to receive a grant. If concerns are raised by finance which cannot be resolved, then a grant award should not be made.

Practitioners Note: ensure most recent accounts have been provided and submitted to appropriate finance representative before progressing through decision making. These should be discussed at the decision-making meeting and any comments or concerns recorded in the notes.

3.4 Assessment and Decision Making

Once an application is received and due diligence carried out, it should be assessed for completeness and accuracy. Any further information needed should be requested from the applicant. The application should then be submitted for a decision to the relevant decision-making body. The practitioner may produce a summary document to assist with this process and this should be filed alongside the application in the GMS.

Identification of conflicts of interest must be a standard agenda item on any decision-making panel. The National Audit Office defines conflicts of interest as “a set of circumstances that create a risk that an individual’s ability to apply judgement or act in a role that is, or could be, impaired or influenced by a secondary interest. The perception of competing interests, impaired judgment, or undue influence can also be considered a conflict”. Anyone raising a conflict of interest should not participate in project assessment and decision making.

Only applications which have been considered and approved by the appropriate decision-making body can be awarded funding. A record of this decision (ie note of the meeting including date, attendees and decision) must be recorded in the GMS.

Practitioners Note: It is essential that funding is approved by an appropriate decision-making body and that this is recorded. The GMS must be used to record the decision and must, as a minimum, include basic information as listed above.

If a project contains the requirement for match funding from other sources, this should be included in any advice provided to the decision-making body and should be discussed at the decision-making meeting – any concerns or conclusions must be recorded in the notes. Whilst it is common to approve funding for a project which is yet to secure match funding from all contributors, it is essential that no funding is actually released until the applicant has provided written confirmation that all match funding is secure.

Practitioners Note: An email/written confirmation from the applicant stating that match funding is secure is considered adequate and proportionate for this purpose.

3.5 Approval and Award

Approved grants must be recorded in the GMS along with the supporting documentation. A record of how the decision to fund the project has been reached must be filed in the

‘Assessment’ folder. This must include a written record of the appropriate decision-making panel and their decision to award funding.

Applicants should be notified in writing of the outcome of their application. If successful applicants will receive a Grant Award Letter (GAL) and, for medium and large applications, a Grant Acceptance Schedule (GAS).

The GAL/GAS should set out the following:

• Purpose for which the grant is awarded
• Funding awarded and payment schedule
• Reporting requirements & frequency
• Evidence requirements
• Special conditions
• Project variation rules
• Media/PR expectations
• Terms & Conditions (including requirement for formal acceptance prior to release of funds)
• For medium & large grants the GAS should also set out the outcomes and measures.

Applicants are required to accept the terms of the GAL/GAS and formally confirm this via a link in the Grant Management System before any funding can be released.

Practitioners Note: The grant award letter/grant acceptance schedule should reflect all agreed requirements, and the ‘requirements’ folder in the Grant Management System must be completed with all individual requirements listed separately.

3.6 Monitoring and Reporting

The purpose of performance monitoring is to ensure value for money is achieved and to hold the award recipient to account for the delivery of the intended outcomes. The frequency and timing of reports should be set out in the GAL/GAS and recorded as requirements in the GMS. Reporting requirements are proportionate to the project and size of grant, however as a minimum, reporting should be as follows:

• Small projects – End of Project Report is mandatory.
• Medium/Large projects – 6 monthly reporting followed by End of Project Report.

In some cases more frequent reporting may be agreed with the applicant and set out in the GAL/GAS and in some cases, reports may be associated to release of staged funding payments.

Submission of reports should be monitored, and action taken where reports are not submitted in the timescales agreed.

Practitioners Note: Applicants submit completed reports directly into the GMS. In all cases the standard NDA Group report templates should be used. All completed reports received are stored in the monitoring section of the GMS and any additional documents submitted with the report will be filed in the related section in the ‘monitoring’ folder. It is the responsibility of Practitioners to review reports and establish whether progress is being made as expected. Only when this is completed to a satisfactory standard should a report be marked as approved. Staged funding should only be released once a report has been reviewed and approved.

Where concerns exist, these should be raised at the appropriate decision-making body and no further funding should be released until it is agreed to do so by that decision-making body or other authorised person.

End of Project Reporting is mandatory for all projects regardless of size. This is the primary way that the NDA Group is able to demonstrate that our grant funding programme is being spent in the correct way and is delivering the outcomes it is intended for.

It is important to ensure that applicants submit End of Project reports in a timely manner to enable them to be reviewed, approved and the project be closed on the system.

Where necessary, applicants should be made aware that failure to provide End of Project reports will result in future applications for funding being rejected without consideration.

Practitioners note: End of Project reports will be delivered into the ‘monitoring’ section of the GMS and any additional documents submitted with the report will be filed in the related section in the ‘monitoring’ folder. Submission of End of Project reports should be monitored and chased where necessary. Applicants should be reminded of their obligation to report and where necessary advised that future funding requests will not be considered if they fail to comply with this requirement.

To help improve governance and identify inconsistencies in use of the GMS, the NDA Socio-Economic team will undertake monthly sample checks. All outcomes will be shared with the socio-economic teams across the group to help improve practice in line with system requirements.

The NDA reserves the right to withhold or clawback funding for projects that do not comply with reporting requirements and/or fail to provide evidence to show that the grant has been spent in accordance with the GAL/GAS.

Generally, funding applications will not be approved from applicants who have failed to meet reporting and evidence requirements of previously funded projects.

3.7 Evidence of Spend and delivery

Applicants are required to provide evidence to show they have used their grant appropriately.

Particular attention should be paid to detecting fraud and error by tracking that all grants achieve their intended outcomes. This involves obtaining evidence of spend and delivery, and providing assurance that expenditure meets eligibility criteria.

Evidence of spend requirements must be listed in the GAL/GAS and should as a minimum include the following:

• An itemised list of spending for the whole project.
• A letter from the Chief Financial Officer or Fund Manager confirming the spend.
• Photos / Press releases etc
• Additionally, to fulfil audit requirements and demonstrate appropriate use of public money we may request a sample of invoices relating to the itemised list of spending.

Practitioners Note: The evidence of spend requirements listed about should be listed as standard in the GAL/GAS. On receipt of the itemised list of spending, practitioners should request a sample of invoices to cross reference against the full list to check for accuracy. These should be checked for accuracy and filed in the ‘monitoring’ section of the GMS. Any request for evidence of spend must be complied with before a report is approved, and any associated payment released.

Evidence of delivery may include formal reports, media, photographs, or site visits which demonstrate that delivery has been achieved.

Practitioners Note:  The practitioners should ensure all reporting and evidence requirements are listed in the requirements folder, including due dates and contact details. This should reflect all requirements listed in the grant award letter/GAS. Timely receipt of all reporting and evidence should be monitored – a RAG report is issued by NDA weekly to assist with this.  When information is received in the monitoring tab in the GMS, practitioners should review and confirm that requirements have been satisfactorily met. If needed, practitioners may request additional information. Only when all required information is received, reviewed and accepted, can the completion of the requirement be approved.  If release of funding is conditional on completion of a requirement, then funding should not be released until all checks and approvals have been completed.

It is recognised that whilst reporting and evidence requirements can be determined in advance, adherence to these requirements is often outside of the control of practitioners and requires an applicant to fulfil their role. For this reason it is important to ensure that correspondence sent to encourage applicants to provide information, and notes of any efforts made, are saved in the ‘file notes’ section of the GMS.

Practitioners note:  It is important to keep records of correspondence relating to reporting and evidence in the ‘file notes’ section of the GMS in-order-to demonstrate that efforts have been made to obtain information. If all reasonable efforts have been exhausted, practitioners should record this in a file note. 

3.8 Payment of Grants

Small applications are normally paid in advance of need, recognising that applicants are unlikely to have access to upfront cash flow with which to deliver projects. To enable this to happen we require prior submission of written quotes for any work to be carried out. 

Practitioners note: For small applications, practitioners must ensure that quotes for work/goods have been obtained and align with the cost of the project before releasing any payments. Copies of quotes should be saved in the files section of the GMS. If grants are being used to fund revenue and/or in-house delivery costs, then a breakdown of how costs have been estimated will suffice.

For medium and large applications, in accordance with ‘Managing Public Money’, it is expected that we will not normally make payment in advance of need. Where possible, we will seek to link the release of regular payments to the receipt of satisfactorily completed delivery and financial reports, with the submission of reports triggering the release of payments subject to validation (see reporting and monitoring).

Where there is justification, we may be able to consider payment in advance of need for larger projects to enable efficient delivery. Payment of grants in advance requires specific written justification and approval by the relevant governance body. The justification will need to demonstrate that the project could not be undertaken without prior release of some or all of the grant funding. In some cases, this will be because the applicant’s organisation does not have the necessary cash flow or financial reserves to commence the work and therefore the benefits of the grant would be lost if they did not receive the grant payment in advance. Each case will need to be made on its specific merits and with reference to the financial position of the applicant and any discussion and decision must be recorded in the decision-making panel meeting notes and filed in the GMS. In such cases, consideration should be given to staging payments in line with delivery. Advice should be sought from the appropriate finance function ahead of approving payment in advance to ensure compliance with regulations.

Practitioners note: Any agreements around payment in advance for medium and large projects should be agreed by the decision-making body and recorded in the GMS in the ‘file notes’ folder. This should include copies/records of any discussions with finance colleagues.

Where an application contains the requirement for match funding from other organisations, confirmation is required that match funding is secure from all parties before any funding can be released. This helps to ensure that the project is affordable before payment is made.

3.9 Budget Management and Monitoring 

Socio-Economic budgets will be managed and monitored by the respective Operating Company in line with existing financial and budget management procedures. 

In common with much of the public sector, the NDA works within annual budget allocations. The NDA may consider multi-year commitments where there is a clear and robust business case with a delivery profile spanning multiple years. Multi-year commitments should only be entered into when appropriate budget has been identified covering all-years of the projects and where a robust decision-making process has resulted in agreement to do so. This should always include involvement of Finance colleagues from the relevant Operating Company.

Budget carry-over will not normally be permitted, and projects are expected to deliver within the timescale agreed when the grant is approved. Should the profile of project delivery result in delay or budget carry over, this should be subject to formal agreement and change control where appropriate. Any such request can only be approved if deemed affordable in the financial years impacted.

Practitioners Note: It is important to monitor delivery timescales of projects and ensure that projects are expected to draw-down funding within the timescales agreed. Due to funding constraints, we are not able to guarantee funding will be available for projects which slip into future financial years. Where concerns about delivery timescales exist these should be raised at the appropriate decision-making body.

3.10 Change Control

Any changes to the scope of the project (i.e. repurposing of funding, changes to project end dates, or changes to milestones etc) require prior approval from the appropriate decision-making body. Approval must be sought via a Project Variance Form to be completed and submitted by the applicant. This will be reviewed by the relevant panel and the decision to approve or reject the request will be made in writing to the applicant.

Before submitting a Project Variance Form, applicants should be encouraged to discuss the issue with the fund manager in the relevant Operating Company.

All relevant documentation and correspondence should be recorded in the GMS.

4. HMG Green Book Compliance

4.1 HMG Green Book 5 case model

The information below provides a summary of requirements for each of the 5 cases which make up the HMG 5-Case Model. Medium and Large applications are required to comply with the format of the 5-case model.

Strategic Case – Is the proposal needed?

The strategic case sets out why the funding is needed and why the project should go ahead. To assess the strategic case, the NDA group will consider:

• The local need or opportunity the project is addressing.
• Whether the project is aligned with the NDA Social Impact and Communities Strategy (2024).
• What the project will do (outputs) and what it is trying to achieve (outcomes).
• How success will be measured.
• Levels of local support for the project and how this local support is expressed (for example financial support, in-kind, policy).
• How the project is consistent with, and ideally supports, national or local government strategies.

Practitioners note: Practitioners should satisfy themselves that the strategic case is complete and coherent. Alignment to the NDA Social Impact and Communities Strategy should be confirmed and relevant details should be included in the summary document which is presented to the decision-making panel. If required, practitioners may go back to applicants to obtain more information.  An Additional Information Form should be set up in the Requirements section and a link to the form emailed to the applicant. Once the Applicant has completed and submitted the form, any attachments will be saved in Requirements.

Measures and targets to report progress.

Within the Strategic Case is a requirement for all projects funded by the NDA group to report on what they deliver. For medium & large projects we ask our applicants to identify suitable measures from the standard set which is found in our grant application system. Applicants are asked to set and agree targets against which we can monitor and report on progress and achievements. 

The standard measures and descriptors can be found in appendix A.

Economic Case – Is it value for money?

The Economic Case is designed to help us assess the economic costs and benefits of the project to the local community. It covers:

• Why NDA support is needed and what the likely economic/social/environmental impacts would be due to a lack of any support.
• Information to demonstrate why the applying organisation cannot fund the project itself.
• That other methods to achieve the same/similar outcomes have been ruled out.
• That the applicant has considered other ways to deliver the outcomes of the proposed project and has ruled them out for sensible reasons. How much of the expected outcomes might happen anyway without NDA support.

Practitioners note: Practitioners should satisfy themselves that the economic case is complete and coherent. Relevant details should be included in the summary document which is presented to the decision-making panel. If required, practitioners may go back to applicants to obtain more information.  Any such correspondence and additional information should be stored alongside the application in the ‘files’ folder in the Grant Management System.

Commercial Case – Is it viable?

This is concerned with feasibility and sustainability and the effect of funding changes on deliverability. It should address any procurement required, such as the purchase of goods or services. It should clarify contractual questions, including contractual milestones and delivery dates. It should set out who is responsible for agreed outputs. Risk management should also be included here. We are expecting to see:

• Evidence that the project regarded is feasible and deliverable.
• Evidence that the organisation delivering the project is a sustainable, reliable partner.
• Clear and credible milestones and delivery dates.
• What (if any) procurement is required and is there a procurement strategy?
• Identification of risks and a plan to mitigate against them.
• Any major dependencies – in other words, whether the project is dependent on any decisions or events outside of the applicant’s control.
• Supporting evidence should be included to underpin any statements made.

Practitioners note: Practitioners should satisfy themselves that the commercial case is complete and coherent. Relevant details should be included in the summary document which is presented to the decision-making panel. If required, practitioners may go back to applicants to obtain more information.  Any such correspondence and additional information should be stored alongside the application in the ‘files’ folder in the Grant Management System.

Financial Case - Is it affordable?

The financial case is concerned with issues of affordability and sources of funding, including all expected costs. It also deals with contingencies and match-funding. The financial case sets out: 

• The proportion of funding the NDA is being asked to provide in relation to total cost of the project. The NDA encourages applicants to seek a minimum of 50% of the funding from other sources, unless there is strong evidence that no other funding is available.
• Whether match funding is secured from all parties.
• A clear justification if the NDA is first to commit funding.
• What contingencies are in place for cost-overruns.
• Breakdown of costs for the whole project

Practitioners note: Practitioners should satisfy themselves that the financial case is complete, coherent and any calculations/funding details are accurate. Relevant details should be included in the summary document which is presented to the decision-making panel. If required, practitioners may go back to applicants to obtain more information. Any such correspondence and additional information should be stored alongside the application in the ‘files’ folder in the Grant Management System.

Checks to be carried out by practitioners include:

• Check that cost breakdowns and funding profiles are consistent and accurately reflect the amount requested and the total project costs.
• Check details of match funding are provided and that these sum up to the full project costs.
• Check that match funding is secure, or that plans to secure match funding are clearly set-out in the summary document for decision-making. Funding should not be released until written confirmation of match funding has been received.

If any of the information listed above is not available/accurate, then clarification should be sought from the applicant before progressing.

Management Case – Is it achievable?

The management case is concerned with deliverability. It sets out management responsibilities, governance and reporting arrangements, as well as any gate review and post-project review arrangements evidencing accountability. The NDA will look for evidence that:

• Detailed delivery plans are in place.
• There are appropriate gates or a staged process.
• There is a performance monitoring and reporting system.
• There are appropriate governance arrangements in place.
• The application includes relevant information on Equality, Diversity, and Inclusion issues:
  • Does the proposal actively seek to support under-represented       groups?
  • Is there a risk that it could be discriminatory?
• Environmental issues: whether the proposal actively seeks to make      environmental improvements and whether there a risk that it could be   environmentally damaging.
• Does the proposal require project management techniques? Are those skills available to the applicant?
• What PR and communication is required? Has the applicant got the      necessary skills?
  • What post-project sustainability arrangements are in place?
  • Is the applicant using auditors or any third party assurance?

Practitioners note: Suitable evidence to support the Management Case may include: Programme of work/plans inc. dates, targets, milestones, ultimate objectives, job specs, phased delivery plans to include operation, Legal Compliance Assessment, Regulatory Compliance, policy documents, inc. ED&I, a Communications Plan, an Evaluation Plan.

Practitioners should satisfy themselves that the management case is complete and coherent. Relevant details should be included in the summary document which is presented to the decision-making panel. If required, practitioners may go back to applicants to obtain more information.  Any such correspondence and additional information should be stored alongside the application in the ‘files’ folder in the Grant Management System.

Reminder: An application for funding over £200,000 requires a completed on-line application form, plus a business case and/or supporting documentation. An application for funding ranging between £10,000 - £200,000 needs a completed on-line application form and supporting documentation but does not require a separate business case. Applications for less than £10,000 have a lighter on-line application form but still need to show how funding leads to outcomes.

5. Other Legal and Regulatory Matters

5.1 Subsidy Control Rules (formerly State Aid)

The NDA group is subject to the UK’s Subsidy Control Regime (formerly State Aid). As a result, applications will be assessed considering subsidy control rules and further information will be sought from applicants to support this.

It is the responsibility of the Practitioners in the Operating Company giving funding to ensure that a subsidy control assessment is carried out and, where appropriate, a principles analysis completed before an award is made. Awards above the relevant threshold must be recorded on the subsidy control database managed by the Department of Energy Security and Net Zero. Further information on subsidy control requirements will be published separately.

Where grants cannot be made in compliance with these rules funding will not be provided. Where funding is subsequently found to breach Subsidy Control rules it may be recovered from the recipient organisation. More information on UK subsidy control can be found on GOV.UK.

5.2 GDPR

Our obligations under GDPR are detailed in the NDA Socio-Economic Privacy Notice. All NDA Group Socio-Economic teams are required to comply with these GDPR obligations which can be found in Appendix B.

6. Roles and Responsibilities

The following information relates to the operation of the whole NDA Socio-Economic programme, including but not limited to our grant-giving programme. It is provided to help applicants to understand how we work.

6.1 NDA Central Team

• Develops group wide guidance and strategy in consultation with the rest of the NDA group.
• Responsible for group wide reporting.
• Maintains group wide grants management systems.
• Helps team comply with policy and guidelines.
• Monitors spend and performance.
• Exception reporting and dissemination.
• Prepares annual estate-wide performance report.
• Runs NDA Socio-economic Panel and One NDA Socio-economic panel.
• Maintains group wide pages on gov.uk.
• Develops case studies for publication.
• Manages the NDA centrally retained socio-economic budget.
• Respond to requests from other NDA functions, including Finance and Internal Audit.
• Conducts spot checks and recommends actions in relation to use of the grant management system.

6.2 Operating Companies

• Deliver Socio-economic programmes in line with NDA and Operating Company strategy, policies and procedures.
• Provide regular updates on spend, activity, progress and outcomes.
• Collect and store evidence of progress and spend from applicants.
• Maintain positive stakeholder relations with local economic development organisations.
• Work with local economic development organisations to develop appropriate interventions.
• Prepare annual Socio-economic performance reports.
• Run Socio-economic panels in accordance with business governance standards.
• Contribute to One NDA Socio-Economic panel.
• Uses grant management system in line with detailed procedures.

6.3 Applicants

• Carries out activities in line with the Grant Acceptance Schedule (GAS).
• Submits documentation In line with GAS.
• Submits performance reports and evidence of spend and other supporting evidence in line with GAS.
• Responds to ad-hoc requests for information specifically related to project delivery.
• Upon request makes themselves and documentation available for audit.
• Acknowledges NDA and/or relevant Operating Company in any PR activities unless otherwise notified in GAS.
• Submits an end of project report.
• Supports the development of case studies as required.
• Complies with all conditions of funding as set out in grant award.

7. Practitioners ‘Quick List’

The list below provides some key points to help practitioners to follow this guidance:

7.1 Grant management System - general

• Use of the Grant Management System is mandatory for all applications.
• For audit purposes, all correspondence relating to an application and decision should be filed in the GMS.
• Funding decisions MUST be recorded in the GMS for all projects – this should be a copy of the notes of the meeting of the relevant decision-making body.
• ‘File notes’ should be kept in the GMS to record information relevant to the delivery of a project.

7.2 Application Requirements

• All projects must be supported with an application using the appropriate NDA Group application form.
• Projects should only be progressed through governance if a complete application has been received in accordance with this guidance and associated documents. 
• It is the responsibility of the Socio-economic teams in each NDA Operating Company to ensure the completeness of applications (and associated business case if a large project) before submission to the appropriate decision-making committee.
• Where the GMS flags potential for duplicate applications, practitioners must discuss this with the relevant Operating Company to ensure there is no potential for duplicate funding. This discussion should be recorded in a file note in the GMS and the decision-making panel advised.
• Practitioners should satisfy themselves that all parts of the application are complete and coherent. Alignment to the NDA Social Impact and Communities Strategy should be confirmed and relevant details should be included in the summary document which is presented to the decision-making panel.
• Further evidence and information can be obtained from the applicant if needed. This should be filed in the GMS along with the application form. An Additional Information Form should be set up in the Requirements section and a link to the form emailed to the applicant. Once the Applicant has completed and submitted the form, any attachments will be saved in Requirements.
• The socio-economic teams may decide not to progress an application where there is insufficient information available. If this is the case, this decision should be communicated to the applicant.
• Practitioners must complete subsidy control assessments and, where appropriate, further principles analysis. Grants deemed to be above the threshold must be recorded on the appropriate database.

7.3 Due Diligence

Due diligence checks should be performed as required and details completed in the due diligence tab in the Grant Management System. If additional information is required to

• complete due diligence checks this should be obtained from applicants and correspondence should be recorded in the file section of the grant management system. Only applications which have fulfilled due diligence requirements should proceed through governance.
• For medium and large grants, the most recent financial accounts must be provided and reviewed by the NDA Group Finance Representative on the appropriate decision-making panel before the application is progressed through decision making.

7.4 Grant Award Letter / Grant Acceptance Schedule

• The grant award letter (GAL)/grant acceptance schedule (GAS) should reflect all agreed requirements, and the requirements folder in the Grant Management System must be completed with all individual requirements listed separately.
• The requirements in the GAL/GAS should match those in the requirements folder.
• Evidence of spend requirements should be listed as standard in the GAL/GAS. On receipt of the itemised list of spending, practitioners should request a sample of invoices to cross reference against the full list to check for accuracy.
• The applicant must accept the terms of the GAL/GAS for funding to be confirmed.

7.5 Reporting, checking, and monitoring.

• Practitioners should ensure all reporting and evidence requirements are listed in the requirements folder, including due dates and contact details.
• Timely receipt of all reporting and evidence should be monitored – a RAG report is issued by NDA weekly to assist with this.
• When information is received in the ‘monitoring’ folder in the GMS, practitioners should review and confirm that requirements have been satisfactorily met. If needed, practitioners may request additional information.
• Only when all required information is received, reviewed and accepted, can the completion of the requirement be approved.
• Staged funding should only be released once a report has been reviewed and approved.
• Where concerns exist about progress, these should be raised at the appropriate decision-making body and no further funding should be released until it is agreed to do so by that decision-making body or other authorised person.
• End of Project Reporting is mandatory for all projects.

For budget management purposes, it is important to monitor delivery timescales of projects and ensure that projects are expected to draw-down funding within the timescales agreed.  Due to funding constraints, we are not able to guarantee funding will be available for projects which slip into future financial years.  Where concerns about delivery timescales exist these should be raised at the appropriate decision-making body.

7.6 Evidence Requirements

• End of project reporting and evidence of spend is required for all projects regardless of size. These requirements must be agreed when a grant offer is made and be included in the Grant Award Letter and, for medium & large applications, the Grant Acceptance Schedule.
• Evidence of spend can be a list (eg spreadsheet) containing details of spending on the project and written confirmation from the CFO or fund manager confirming that these details are accurate. This should relate to the whole project and not just the NDA funded element. Invoice sampling should be carried out (see below).
• Invoice Sampling - Practitioners must ensure that applicants submit a list of expenditure at appropriate times during the project. Upon receipt of this, practitioners should select a small sample of items of spend and request copies of the invoice to confirm accuracy. Any such request must be complied with before a report is approved, and any associated payment released.
• Evidence of project delivery may take the form of press releases, photographs, site visits, reports etc. Practitioners must ensure that we receive evidence of delivery and that this is filed in the GMS.
• Delivery of End of Project reporting should be monitored and chased where necessary. Applicants should be reminded of their obligation to report and where necessary advised that future funding requests will not be considered if they fail to comply with this requirement.
• It is important to keep records of correspondence relating to reporting and evidence in the ‘file notes’ folder in the GMS in-order-to demonstrate that efforts have been made to obtain information. If all reasonable efforts have been exhausted, practitioners should record this in a file note. 

7.7 Payments

• Evidence that all match funding is secure must be received before any payments are released. Written confirmation from the applicant that match funding is secure is sufficient. This is regardless of the size of application.
• For small applications, practitioners must ensure that quotes for work/goods have been obtained and align with the cost of the project before releasing any payments. Copies of quotes should be saved in the files section of the GMS.
• Any requests for payment in advance of need should be submitted in writing by the applicant, discussed and approved by the decision-making body and recorded in the GMS in the ‘file notes’ folder. This should include copies/records of any discussions with finance colleagues.
• If release of funding is conditional on completion of a specific requirement, then funding should not be released until all checks and approvals have been completed.

8. Appendix A

8.1 Sustainable Incomes

Measure	Details
Does your project create jobs? If so, how many Full Time Equivalent jobs will be created?	Please provide an estimate of how many Full Time Equivalent (FTE) jobs will be created as a direct result of this project. This can be either a) being directly employed on the project or b) as a result of the project providing beneficiaries with an employment opportunity elsewhere. Indicate whether these are for the duration of the project or provide details if for a different duration.
Will your project provide support to help people to access employment through activities such as CV writing, interview skills, digital skills, career guidance, entrepreneur mentoring etc?  If so, how many people will benefit from this support?	Please estimate how many people will benefit from support over the duration of the project.
Will your project provide or create any apprenticeships?  If so, how many?	Provide details of how many apprenticeships (including graduate apprenticeships) will be created over the duration of the project and the typical length of these apprenticeships
Will your project provide local school and/or college engagement (eg visits, presentations, workshops etc) aimed at helping young people to do well in education? How many individuals will benefit?	Please provide the total number of individual attendances at an educational activity (eg presentation/visit/workshop) during the project. If sessions are delivered in groups, please estimate the number of people who will attend and count each person individually. Individuals attending multiple sessions should be counted separately for each attendance.
Will your project provide formal qualifications?  If so, how many people will achieve formal qualifications?	Please indicate how many people you expect to provide with formal qualifications over the duration of the project. Provide details to support this estimate.
Will your project provide mentoring, education or training to young people who are disengaged from formal education or who are Not in Education, Employment or Training (NEET)?	Please estimate how many hours of support will be provided to mentor, educate or train young people who are otherwise disengaged from formal education, training or employment. This figure should be calculated as a total number of hours of support provided to all beneficiaries. If measured in weeks, please calculate hours based on 35 hours per person per week. If measured in days, please calculate hours based on 7 hours per person per day. If measure in half days, please calculate hours based on 3.5 hours per person per half day.”

8.2 Thriving Communities

Measure	Details
Does your project create volunteering opportunities? If so, how many hours of volunteering do you expect to secure?	Please estimate how many volunteering hours will be secured through the project. Include any volunteering (ie public, corporate, supply chain etc).
Will your project help people with their physical health?  If so, how many people?	Estimate how many people will potentially benefit from physical health improvements as a result of your project. Include those actively participating in sport as a result of the project. Specify if this benefit is the result of general participation in a healthy activity or long-term benefits as a result of a focussed individual programme or intervention.”
Will your project increase access to art and culture?  If so, how many people will participate?	Please estimate how many people will access art and culture as a result of your project.  Provide details of the type of activity and frequency.
Will your project help to reduce crime or antisocial behaviour?	provide an estimate for how many individuals will be assisted during the project

8.3 Sustainable Growth

Measure	Details
Will your project save CO2 emissions? If so, how many tonnes will be saved?	You may wish to use a carbon footprint calculator, for example the business climate hub carbon footprint calculator
Will your project reduce car miles as a result of active or green travel programmes (eg cycling, walking etc)?  Estimate how many car miles will be saved.	Provide an estimate of how many car miles can be saved over the duration of the project through either moving to active travel modes or not travelling. Please provide details of how this has been calculated.

8.4 Resilient Economies

Measure	Details
Will your project increase revenue for local businesses?  If so by how much?	Provide an estimate of increased revenue for local businesses resulting from the project.  Give details of how this has been estimated and the type/sector of the local businesses expected to benefit.
Will you provide free expert advice to local businesses or charities (eg SME’s. start-ups etc)	Please estimate how many hours of free expert advice will be provided over the duration of the project.  Provide details of how this has been calculated.
Will your project attract visitors into the area for tourism and/or event attendance?	Please estimate how many individual day visits you will generate.  Visits over multiples days should be measured cumulatively (ie 3 days = 3 visits).
Will your project result in a project proposal or business case which will increase the potential for inward investment or 3rd party funding?	Yes/No

8.5 Other

Measure	Details
Please include details of any other measurable benefit you feel would be achieved by your project.

9. Appendix B

9.1 Privacy Notice for Socio-economic Grant Funding

This notice sets out how we will use your personal data, and your rights. It is made under the Data Protection Act 2018, section 36(1).

9.2 Applicants

Your data

The data you supply will be stored on the NDA group[ii] Grants Management System, which is managed by Hyphenate Limited and hosted on Salesforce. The Grants Management System uses FormAssembly for data collection, which is integrated with Salesforce. Information collected via FormAssembly will be details provided in the online application form, grant reporting data and e-signature responses.

The data will be shared with the Social Impact teams, Finance teams, Internal Audit teams of Nuclear Waste Services (excluding the Community Investment Funding arising from the delivery of the UK Government’s GDF siting process), Nuclear Restoration Services Ltd (Sites Delivery Business), and Nuclear Restoration Services Ltd (Dounreay Delivery Business), Nuclear Decommissioning Authority, Sellafield Ltd and with members of local panels i.e. Site Closure Directors, Union Reps (at some sites) and Site Stakeholder Groups/Local Community Liaison Councils Representatives, if required. 

The Nuclear Decommissioning Authority uses the Cabinet Office tool Spotlight to perform counter fraud checks on applications for grant funding. Please refer to the Cabinet Office Privacy Notice to understand how your data will be used.

The purpose

The purpose for which we are processing your personal data is in relation to your application for grant funding.        We will process the data in accordance with the guidance set out in the Government Functional Standard for General Grants. The Government Functional Standard for General Grants facilitates the recording and reporting of grant information across government, providing accurate data to enable departments to manage grants efficiently and effectively, while actively reducing the risk of fraud. For further information please visit https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/722193/Grants-Standards-Guidance-INTRO.pdf

The data:

We will process the following data (including some personal data)

• Title & Name of the person(s) requesting funding
• Position held
• Name of organisation
• Company address
• Telephone number
• Email address
• Company bank details, if required.
• E-signature collection. For successful applications, applicants will be asked to sign a Grant Acceptance Form electronically. The details are collected via FormAssembly our data collection provider. Please note that a link to your e-signature endorsement record, will be stored on the NDA’s Grants Management System for auditing purposes.

Lawful basis for processing

The lawful basis for processing your personal data is that processing of this data is necessary for the performance of a task carried out in the public interest or in the exercise of official authority vested in the data controller. In this case that is our functions in relation to government grants, and the need to have a cross-government database to reduce fraud and make available transparency information about the award of government grants.

Retention

If applications are successful paperwork & financial records shall be retained for a period of 7 years from the end date of the grant scheme. The earliest paperwork will be deleted is December 2028 and in December annually thereafter.

After this time a minimum amount of non-personal data will be kept for reporting and auditing purposes only.

If applications are rejected paperwork will be kept on file for a minimum of 2 years. The earliest paperwork will be deleted is December 2022 and in December annually thereafter.

Your rights

Under data protection law you have rights, including:

• The right to be informed (which this notice fulfils);
• The right of access;
• The right to rectification;
• The right to restrict processing;
• The right to object;
• Rights in relation to automated decision making and profiling.

For a detailed explanation of these rights, and the specific circumstances in which they apply, please visit the Information Commissioners Office (ICO) website

If you wish to exercise any of your rights, including where you are seeking a copy of your own personal information, please contact the relevant DPO via:

NDA – dpo@nda.gov.uk

NWS – NWSinfogov@nuclearwasteservices.uk

NRS – D.P.O@magnoxsites.com

Sellafield Ltd – data.protection.team@sellafieldsites.com

Complaints

If you consider that your personal data has been misused or mishandled, you may make a complaint to the Information Commissioner, who is an independent regulator. The Information Commissioner can be contacted at: Information Commissioner’s Office, Wycliffe House, Water Lane, Wilmslow, Cheshire, SK9 5AF, or 0303 123 1113, or casework@ico.org.uk. Any complaint to the Information Commissioner is without prejudice to your right to seek redress through the courts.

Contact details

The joint data controllers for your personal data are the Social Impact team of the Nuclear Decommissioning Authority and the relevant Social Impact Team providing the grant funding for your project, as follows:

• Nuclear Waste Services (LLW Repository Ltd)
• Nuclear Restoration Services Ltd (Sites)
• Nuclear Restoration Services Ltd (Dounreay)
• Sellafield Ltd.

Applicants Responsibility

As a Data Controller, you must consider your overall compliance with data protection legislation when sharing personal information with the NDA, meaning:

You must share personal data fairly and transparently:

• you must not use an individuals data in ways that would have unjustified adverse effects on them
• when you share personal data, you must ensure it is reasonable and proportionate (do not provide more information than is required)
• you must ensure that individuals know what is happening to their data
• before sharing data, you must tell individuals about what you propose to do with their personal data in a way that is accessible and easy to understand

You must process personal data securely, with appropriate organisational and technical measures in place.

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[i] Throughout this document we use the terminology NDA group this refers to Nuclear Decommissioning Authority, Nuclear Restoration Services (Sites Delivery Business), Nuclear Restoration Services (Dounreay Delivery Business), Nuclear Waste Services Ltd (excluding the Community Investment Funding arising from the implementation of the Government’s Working with Communities Policy) and Sellafield Ltd.