Guidance

NDA group Socio-Economic Grant Funding Programme: Practitioners Guidance

Updated 21 October 2024

1. 1. Introduction

This guidance is intended for people who administer NDA group ^{[footnote 1]}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.  These two documents replace the previous single Practitioners Guidance.

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:

1. 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.
2. 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.
3. HMG Green Book Compliance.
4. Other legal and regulatory matters.
5. Roles and responsibilities.
6. Practitioners ‘Quick List’.

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

2. 2. The NDA group Socio-Economic Programme

2.1 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 2.2 Who We Can Fund

We will only support projects that are near one of our sites. This is generally defined as the district council area where the site is located and, where sites are close to authority boundaries, the neighbouring district council:

• 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 Multipled (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 2.3 What we can fund

All funding is allocated via an application and governance process.  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 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 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.

Applicant submits project > 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.

Applicant  submits project > Considered by the OpCo panel > 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.

Considered by the OpCo panel > Applicant  submits project > Considered by the One NDA panel > Final decision by delegated budget holder

3. 3. The funding process and expectations of practitioners

3.1 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. 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 level of information required from applicants is proportionate to the amount of funding requested. For this reason there are three application forms covering small, medium, and 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.

If an applicant fails to comply with agreed reporting and evidence requirements, funding may be withheld and/or future applications for funding rejected.

Practitioners Note: 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.

3.2 3.2 Requirements of Small, Medium and Large Applications

3.3 3.2.1 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.

3.4 3.2.2 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.

3.5 3.2.3 Large applications

Large applications must provide the same information as required for medium projects with the addition of a full business case following the 5-case model. 

We expect a summary of the project to be included in the application form, plus a more detailed self-standing business case with appendices. Details of business case requirements can be found in the HM Treasury general rules for project appraisal, sometimes known as the “Green Book”, https://www.gov.uk/government/publications/the-green-book-appraisal-and-evaluation-in-central-governent.

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.

3.6 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.

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

3.7 3.3.1 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?

3.8 3.3.2 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 3 years of accounts (where the organisation has been in existence for 3 years or more).

Practitioners Note: ensure 3-years accounts have been provided before progressing through decision making.

3.9 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.

Potential conflicts of interest must be considered.  Anyone with 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 organisations, this should be included in any advice provided to the decision-making body. 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.

3.10 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 GAS must clearly state the purpose for which the grant is awarded, provide details of approved activities, set out categories of eligible and ineligible expenditure, establish reporting and evidence requirements and set out any special conditions. The GAS also sets out the legal and regulatory rules which apply to our grants.

Performance monitoring requirements should be outlined clearly in the GAS in order to enhance the effectiveness with which grants can be monitored i.e. providing the facility, through setting and agreeing clear monitoring and reporting expectations at the outset, to hold the grant recipient to account for the delivery of the intended outputs.

Applicants are required to accept the terms of the 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.

3.11 3.6 Monitoring and Reporting

The purpose of performance monitoring is to ensure value for money is achieved for the outcomes delivered 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 GAS and recorded as requirements in the GMS. Reporting requirements are proportionate to the project and size of grant, however all projects are expected to provide and end of project report as a minimum. Submission of reports should be monitored, and action taken where reports are not submitted in the timescales agreed.

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.

Applicants will be required to submit progress reports. The exact requirements and timetable for reporting will be detailed in the GAS and listed in the requirements tab of the GMS. 

For many projects, interim and gate reports will also be required. These allow us to monitor progress and, where appropriate, release funding based on achievement or progress towards agreed milestones.

Practitioners Note: Applicants submit completed reports directly into the GMS. 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.

3.12 3.7 Evidence of Spend and delivery

Applicants are required to provide evidence to show they have used their grant appropriately. This will be both evidence of spend and evidence of delivery.

Evidence of spend would typically be an itemised list of spending (ie spreadsheet of invoices paid), for the whole project (not just NDA funded element), accompanied by a letter from the applicant organisation’s Chief Financial Officer, Chief Executive Officer or Fund Manager confirming that the funding has been spent as agreed.

To comply with audit requirements, additional evidence should be requested – this will normally be copies of a small sample of invoices to support claims of expenditure.

Practitioner Note: 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. 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. 

3.13 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. This will be considered on a case-by-case basis and subject to governance. 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 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.

3.14 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.

3.15 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. 4. HMG Green Book Compliance

4.1 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.

4.2 4.1.1 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 assess the application and any additional evidence provided which covers:

• 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 also 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.

4.3 4.1.2 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. 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.

4.4 4.1.3 Economic Case – Is it value for money?

This 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.

4.5 4.1.4 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 is regarded as 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.

4.6 4.1.5 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.

4.7 4.1.6 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, an annexed business case and 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. 5. Other Legal and Regulatory Matters

5.1 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 considered in light of subsidy control rules and further information may be sought from applicants to support this assessment. 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 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. 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 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 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 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. 7. Practitioners ‘Quick List’

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

7.1 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 7.2 Application Requirements

• 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.
• 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.

7.3 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, 3-years of accounts must be provided before the application is progressed through decision making.

7.4 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.
• The applicant must accept the terms of the GAS for funding to be confirmed.

7.5 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.

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 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.  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 7.7 Payments

• Evidence that all match funding is secure must be received before any payments are released.  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 agreements around payment in advance for medium and large projects should be 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. 8. Appendix A

Sustainable Incomes
NDA Ref	Measure	Units
NDA 1	Employment - expressed as number of people employed locally per year (converted into full-time equivalents)	no. people FTE
NDA 2	Employment – percentage of people living locally employed by the project per year (converted into full-time equivalents)	%
NDA 3	Employment - graduates retained in the local workforce two years after completing a graduate training programme (numbers of people)	%
NDA 4	Employment -   number of people employed who were previously unemployed for a year or longer	no. people FTE
NDA 5	Employment – number of people who were not in employment, education, or training (NEETs) who have a job as a result of the project	no. people FTE
NDA 6	Employment - number of people employed as a result of the project who are rehabilitating young offenders (18-24 years old)	no. people FTE
NDA 7	Employment - number of people employed locally as a result of the project who are people with disabilities	no. people FTE
NDA 8	Employability – number of hours dedicated to supporting local unemployed people into work through a co-ordinated programme, by providing career mentoring, including mock interviews, CV advice, and careers guidance -(over 24 years old)	no. hrs*no. attendees
NDA 9	Employability – No. of hours dedicated to supporting local unemployed people into work through a co-ordinated programme, by providing career mentoring, including mock interviews, CV advice, and careers guidance (16 - 24 years old)	no. hrs*no. attendees
NDA 10	Employability – Early years primary and nursery support (e.g. breakfast clubs, “brokerage” etc.) provided as a result of the project being funded	£ invested including staff time
NDA 11	Engagement - General engagement or support to enable general engagement with local young people through educational outreach e.g. delivering careers talks, curriculum support, literacy support, safety talks (No. hours, includes preparation time as a result of the project being funded)	no. staff hours
NDA 11a	Education - Number of school pupils involved in the project, annually	no.
NDA 11b	Education - Attainment rates in relation to benchmark (i.e. before project) and the changes to benchmark that you are expecting after the project has finished (expressed as numbers of pupils)	no.
NDA11c	Education - Attainment gap per Pupil Premium pupil against (local) benchmark (expressed as numbers of pupils)	no.
NDA 12	Education - Expert, qualified engagement or support to enable expert, qualified engagement through a coordinated programme with [local] young people through educational outreach e.g. delivering careers talks, curriculum support, literacy support, safety talks (No. hours, includes preparation time)	no. staff expert hours
NDA 13	Education – Number of apprenticeships that have either been completed during the year, or that will be supported by the organisation to completion in the following years - Level 2, 3 or 4	no. weeks
NDA 14	Education - Number of weeks spent on work placements or pre-employment course for people locally; 1-6 weeks student placements (unpaid)	no. weeks
NDA 15	Education – Number of weeks spent on meaningful local work placements or pre-employment course (minimum 5 days) for people who are Not in Employment, Education or Training (NEET) (unpaid)	no. weeks
NDA 16	Education - Meaningful local work placements that pay Minimum or National Living wage according to eligibility - 6 weeks or more (internships)	no. weeks
Resilient Economies
NDA Ref	Measure	Units
NDA 17	Business support - provision of expert business advice to SMEs and social enterprises, including business start-ups and micro-businesses (e.g. digital support/financial & business advice/legal advice/HR advice/bid support/H&S, etc) (expressed as hours)	no. expert hrs
NDA 18	Economy - Total relevant incremental annual revenue increase for local businesses (expressed as an estimated total)	£
NDA 19	Economy - Total relevant incremental annual revenue for local small businesses (expressed as an estimated total)	£
NDA 20	Economy - Total relevant incremental annual revenue for Voluntary Community and Social Enterprise (expressed as an estimated total)	£
NDA 21	Economy - Attract inward investment into local area, including matched funding	£
NDA 22	Economy - Percentage of contracts with the supply chain on which Social Value commitments, measurement and reporting are required	% of contracts
Thriving Communities
NDA Ref	Measure	Units
NDA 23	Initiatives aimed at making local communities safer or reducing crime or anti-social behaviour (expressed as people reached)	£ invested including staff time
NDA 24	Initiatives taken or supported to engage people in health interventions (e.g. stop smoking, obesity, alcoholism, drugs, etc) or wellbeing initiatives in the community, including physical activities for adults and children. (expressed as people reached)	£ invested including staff time
NDA 25	Initiatives or interventions taken to promote good mental health or that increase access to effective mental health support (expressed as people reached)	£ invested including staff time
NDA 26	Provision of expert business advice to Voluntary Community and Social Enterprise s as organisations and directly to individuals in the community (expressed in hours)	no. staff expert hours
NDA 27	Equipment or resources donated to Voluntary Community and Social Enterprise s (£ equivalent value)	£
NDA 28	Number of voluntary hours donated to support Voluntary Community and Social Enterprises (excludes expert business advice)	no. staff hours
NDA 29	Donations or in-kind contributions to local community projects (£ & materials)	£ value
NDA 30	Time allowed by organisation for its staff to volunteer in the community	Hrs
NDA 31	Voluntary time dedicated to sustainably maintaining and improving public spaces, creation or management of green infrastructure, increasing biodiversity, or keeping green spaces clean.	no. staff hours
Environment: Protecting and Improving our Environment
NDA Ref	Measure	Units
NDA32	Environment - Savings in CO2 emissions on contract not from transport (specify how these are to be achieved)	tCO2e
NDA33	Environment - Car miles saved on the project (e.g. cycle to work programmes, public transport or car-pooling programmes etc)	miles
NDA34	Environment - Number of low or no emission staff vehicles included on project (miles driven)	miles
NDA35	Voluntary time dedicated to the creation or management of green infrastructure, to increase biodiversity, or to keep green spaces clean.	£
NDA36	Environment - Percentage of procurement contracts that includes sustainable procurement commitments or other relevant requirements and certifications (e.g. to use local produce, reduce food waste and keep resources in circulation longer).	% of contracts
New Social Value Ideas
NDA Ref	Measure	Units
NDA37	Develop a measurable plan with time-based outputs that supports the delivery of our collective impact objective with sustainable outcomes	Y/N
NDA38	£ value invested in Capacity Building, e.g. brokerage, on strategic programmes, excluding provision of expert business advice to Local SMEs and Social Enterprises	£ invested including staff time

8.1 9. Appendix B

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1. 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 (excluding the Community Investment Funding arising from the delivery of the UK Government’s GDF siting process) and Sellafield Ltd. ↩