Receiving a grant guidance: £250,000 to £5million

This guidance sets out how you will receive your grant of £250,000 to £5m.

It also explains what we expect of you before, during and after receiving it.

Introduction

Congratulations on being awarded a Grant, we look forward to helping you deliver a successful Project. The funding you will receive is public money from National Lottery players, and as such we are duty-bound to ensure that it is managed in an accountable way. This means that there are a number of processes that you need to follow throughout the life of your Project. We try to make these proportionate in line with the level of Grant you are receiving.

We appreciate that this may be the first time you have received funding from us and you may be unsure how to request your Grant and keep us informed about your progress. This document will explain what to do and will answer any queries you may have. 

We like to work in a collaborative way, so keep in touch with us if you need our support. Your first point of contact with the National Lottery Heritage Fund is the person named in the Grant Notification Letter. We expect you to respond promptly to any requests for information and to discuss any substantial changes to your Project with us. You must address any issues we identify throughout your Project.

We will be in touch soon to arrange a start-up meeting (see section 2.6) and we may arrange numerous meetings with you, including site visits, throughout the duration of the Development and Delivery phases of your Project. We ask that you invite us to key Project events and openings and we will aim to send a representative where possible. 

We will carry out checks throughout your Project to confirm that you are delivering the Outcomes identified in your Application and the Approved Purposes set out in your Grant Notification Letter. 

Your Grant Contract with us, the Funder, is made up of the following:

  • Grant Notification Letter;
  • Standard Terms of Grant;
  • Any Additional Grant Conditions;
  • Signed Permission to Start form. 

If you do not comply with the Grant Contract, we reserve the right to request repayment of some or all of your Grant.

This document sets out our standard practices but please note we may choose to vary our processes depending on the specific circumstances of your Project. 

We have created a useful Glossary of Terms which is located in Appendix J of this document. If you are unsure of any terms used in this document, refer to this section. 

This guidance refers to both Development and Delivery phases. A Development phase award does not guarantee that you will receive a Delivery phase award.  

Top Tips

  • Don’t start your Project before we give you permission;
  • Consider evaluation of your Project from the beginning;
  • Acknowledge your funding and promote the National Lottery;
  • Keep track of your Project spend;
  • Keep track of your Project timetable:
  • Keep all invoices and receipts organised;
  • Know your Approved Purposes;
  • Review and learn from what you are doing;
  • Remember to claim your Grant;
  • Make sure you speak to us about any issues;
  • Keep Project evidence, for example from launches, workshops & promotion;
  • Above all else, enjoy your Project!

Project Timeline

Development Phase (2 years to complete)

  • Development award
  • Start up Meeting
  • Submit Permission to Start within 6 months
  • Complete Development Phase review
  • Submit Delivery Round Application
  • Submit Completion Report within 3 months

Delivery Phase (5 years to complete)

  • Delivery award
  • Submit Permission to Start within 6 months
  • Deliver your project activity
  • Submit Completion Report within 3 months
  • Duration of terms of contract Up to 20 years (see section 10)

How we will work with you 

This section explains the guidelines we expect you to follow when delivering your Project. If you are unsure of any of the points raised, get in touch with us. 

Important Documents

We recommend that you familiarise yourself with the following documents before embarking on your Project:

  • Grant Contract; 
  • Programme Application Guidance;
  • Acknowledgement section of our website; 
  • Evaluation: Good-Practice Guidance.

All guidance is available in the Funding and Good practice guidance sections of the website.

We also recommend that all those closely involved in the delivery of your Project are familiar with the Application you submitted to us. In particular the Outcomes and the Approved Purposes you committed to deliver. 

Grant Expiry Date

Your Grant Expiry Date is given in your Grant Notification Letter. It is based on the Project timescale that you identified in your Application.

You must complete your Project and submit your Completion Report and Final Payment Request form (see section 9 for more information about this form) by the Grant Expiry Date.

If you experience delays in delivering your Project, you can request an extension to the Grant Expiry Date (see section 6.2). 

We try to be flexible but cannot guarantee an extension. If you do not complete your Development phase by the Grant Expiry Date your Project is at serious risk and we may decide to withdraw the offer of your Grant and you will not be able to proceed with the Delivery phase of your Project.   

In the Delivery phase if your Project takes more than a maximum of five years to complete from the date of your Grant Notification Letter, we may close your Grant and ask for the repayment of all or part of your Grant.

Promotion of your National Lottery Grant

Promoting and acknowledging the National Lottery is a condition of the Grant Contract. You can find out more about our minimum requirements for acknowledgement on our website. As well as acknowledging your Grant we expect you to provide special access and/or offers to National Lottery players, on at least an annual basis. For example, we may ask you to participate in a campaign to thank Lottery players, for instance the #ThanksToYou campaign.

We expect you to develop innovative and creative offers or promotions designed to thank National Lottery players for their support and to raise awareness of the funding you have received. Examples of these, and other imaginative things that Projects have done can be found on our website.

If your Grant is for more than £1m towards a new exhibition space, visitor centre, community garden or other public facility, we would also like to discuss how the National Lottery might best be incorporated into the name of the space or site. 

You must acknowledge your Grant publicly as soon as your Project starts by displaying the National Lottery acknowledgment logo. You can find out more about how to request acknowledgment material in section 3 of this document. 

You must also make sure you include the National Lottery logo on any information you produce about your Project, for example, on public consultation or fundraising information or materials. You must also include the logo on all designs or plans you produce, on all specialist reports or surveys, and on all tender documents or job adverts that are funded by your Grant. Refer to our website for more information. 

If you do not comply with your acknowledgment guidelines we reserve the right to stop making payments and to request repayment of some or all of your Grant. 

If you need any help or have any questions about acknowledging your Grant get in touch with us.

Grant Publicity 

It is important to publicise your Grant award to local media so that National Lottery players know where their money is being spent. We ask that you keep your Grant confidential until we have discussed and agreed your publicity plans. We will publish the fact that you have been awarded a Grant on our website within 20 days of your Grant Notification Letter. 

We can assist you with queries about publicity and the media. A template press release can be found on our website, the template includes the correct wording, so you will just need to insert your Project information where required. 

Project Support Consultants (known as ROSS Consultants)  

We will carry out a risk assessment to determine the needs of your Project and in certain circumstances we may deem it necessary to commission a Project consultant from our Register of Support Services (“ROSS Consultant”) to help support you to deliver your Project. This support may relate to general Project management or to specific areas such as construction management, business planning, natural environment, public engagement and digital. In addition to specialist expertise, all of our consultants are skilled in providing mentoring support as well as in monitoring Projects. The consultant is appointed and paid for by us, they work on behalf of the National Lottery Heritage Fund and they will report to us.

We will draw up a brief for the consultant, decide the length of the commission and formally commission the consultant. The consultant may attend or call progress meetings with you and your Project team, make site visits and review Project documentation as directed by us. If you have any questions regarding the role of your consultant, speak to us.     In addition to providing you with advice and guidance, the consultant will also report back to us on your progress against your Approved Purposes or part thereof. Please note that only we can agree changes to your Approved Purposes.

Start-Up Meeting

Once we have notified you that your Grant has been successful for either Development or Delivery phases we will usually contact you to arrange a start-up meeting. 

The purpose of a start-up meeting is to:

  • Clarify Development phase work;
  • Agree Development phase Project management, procurement and programme;
  • Set out the reporting / monitoring / Grant claiming requirements;
  • Discuss any legal points concerning ownership;
  • Ensure partnership funding is in place for this phase;
  • Discuss your Project evaluation;
  • Discuss organisational resilience;
  • Discuss National Lottery acknowledgment;
  • If applicable, we may introduce you to a ROSS consultant (refer to section 2.5). 

During the start-up meeting we will agree the lines of communication and when your Development phase review (refer to section 2.7) is likely to take place. 

We will also agree a reporting structure of when you should submit Progress Reports (refer to section 7) and Payment Requests (refer to section 8). 

Development Phase Review

As stated in your Grant Notification Letter we will undertake a formal review of your progress once outline proposals and costs have been developed. The timing of the review will be discussed at your start-up meeting.  

The main purpose of the review is:

  • to confirm that the Project is being developed in line with the Approved Purposes identified in your Grant Notification Letter and the Outcomes you selected in your Application;
  • to provide an update of costs and fundraising progress;
  • to provide an update of compliance with our Property ownership requirements e.g. progress with lease negotiations; 
  • to discuss whether the Project risks are manageable. 

You will need to submit a Progress Report (refer to section 7 for more information) ahead of the review. The Progress Report should be accompanied by draft key documents depending on the type of Project you are completing.

The key documents may include the following:

  • Draft Activity Plan or Area Action Plan;
  • Cost plan to RIBA stage 2 equivalent;
  • Drawings and plans at RIBA stage 2 equivalent;
  • Draft Interpretation plan;
  • Draft Business plan;
  • Conservation plan; 
  • Delivery phase partnership funding;
  • Details of Property ownership position;
  • Timetable for completion of Development phase and for Delivery phase;
  • Risk Register. 

If there have been significant changes to your Project the review provides the opportunity for us to highlight risks, areas of concern and where further work is needed. 

If we raise serious concerns about the viability of your Project, or that it has changed significantly in terms of the Outcomes and Approved Purposes we may fail your Development phase review. If you fail your Development phase review you will not be able to proceed with your Project or submit a Delivery phase Application. 

Procurement: Consultants, Contractors and Suppliers 

Procedures to recruit consultants and contractors must be fair and open and comply with the relevant equality legislation.

In all Projects regardless of the level of funding we will ask you to give us details of the procurement (buying), tendering and selection process for all parts of your Project. If you are unsure about your obligations, we advise you to take professional or legal advice.

If you have already procured goods, works or services, you will need to tell us how you did it. We cannot pay your Grant if you have not followed the procedure set out below.

You must get at least three competitive quotes for all goods, work and services worth £10,000 or more (excluding VAT) that we have agreed to fund.

For all goods, works and services worth more than £50,000 (excluding VAT), you must provide proof of competitive tendering procedures. Your proof should be a report on the tenders you have received, together with your decision on which to accept. You must give full reasons if you do not select the lowest appropriate tender.

Please note that a single tender will be accepted in the following circumstances:

  • The total price of the contract is less than £10,000;
  • A framework agreement is in place for the supply of goods works or services which has been previously competitively tendered, and the goods works, or services are directly relevant to the scope of the Project works to be undertaken;
  • There is a Project contract in place, which has previously been competitively tendered, and it is logical to extend to cover additional Project work. In this case you must confirm that: 
    • In the case of capital works the prices of most elements of work including preliminaries, overheads and profits can be directly applied from the existing contract to the new work;
    • The new work is smaller in scale, and is of a similar type to the main contract work;
    • The contractor will not claim disruption or prolongation cost to the main contract if the new work is introduced;
    • The existing contract restricts work being undertaken by others.
  • The goods, works or services required are unique as set out in a non-branded requirement specification and it is not possible to obtain them from other sources by competitive tender;
  • You can demonstrate that you have tried to tender the goods, work or services openly and competitively but had not received sufficient interest. The only tender received was submitted by a service provider who believed they were doing so in competition with others. 
  • Emergency work where it can be shown that time taken to obtain tenders would put the Project at risk and add considerably to eventual costs;
  • The company providing the single tender is not connected (through ownership or through family connections) with senior representatives of the Grantee.

Your Project may be covered by European Union (EU) procurement rules if it exceeds the thresholds. This will require that all services for both fees and construction will need to be tendered through Tenders Direct, previously known as Official Journal of the European Union (OJEU).

If you are a non-public body, and your Grant exceeds 50% of the estimated cost of a contract, or your Grant together with other public funding exceeds 50% (e.g. ERDF, local authority, or other lottery distributors) or you are a public body you must adhere to EU Procurement Regulations. If fees for relevant services or works exceed the thresholds on the UK Government website then the contracts will have to be tendered through Tenders Direct, previously known as Official Journal of the European Union (OJEU). Thresholds are reviewed annually in January. If you are in doubt about what action you need to take you should take professional advice.

You do not necessarily need to appoint the contractor/supplier/consultant who provides the lowest quote. When deciding who to appoint for your Project you should look at the overall value for money the quote presents and the skills, experience and financial viability of the contractor/supplier/consultant. 

Fees for any consultants or other professionals that you recruit during the Project should be in line with professional guidelines and be based on a clear written specification.

Where appropriate we encourage you to work in partnership with others to deliver your Project. If a Project partner is providing goods or services paid for through the Grant, then you need to tell us why they have been chosen and why an open tender process is not appropriate. We will consider whether this is the best way to carry out your Project and expect you to show value for money and meet any relevant legal requirements.

Partners are not subcontractors. They will take on an active role in the Project and will be involved in the Project as a whole. They will help to report on progress, attend regular partnership meetings and support Project evaluation.

If any of the contractors / suppliers / consultants you wish to appoint are linked, for example close friends or relatives, or if there is any financial link such as ownership of these suppliers you will need to obtain our written permission from us first.

You should ensure any contractor/supplier/consultant or Partner who may contribute to the creation of Digital Outputs is aware of our requirement for projects to share these under a Creative Commons Attribution 4.0 International licence or equivalent, and ensure you have agreement for the resulting work to be shared in this way. Where this is not possible, you must seek written agreement to make alternative arrangements with us, for example to use an alternative Open Licence, prior to issuing any contract of work. 

Recruitment of Staff

All staff posts must be advertised with the following exceptions:

  • If you have a suitably qualified member of staff on your payroll that you are moving into the post created by your Project;
  • If you have a suitably qualified member of staff on your payroll whose hours you are extending so that they can work on the Project. In this case we will fund the cost of their additional hours spent on the Project and you will need to tell us about the role they will undertake;

We may ask to see evidence of the recruitment procedure you followed so keep these records safe. 

If you are moving an existing member of staff into a post created by the Project, then we can either pay for the cost of this member of staff, or for the cost of backfilling their post, whichever cost is less (where an employee is assigned to a new job and their position is temporarily filled by another employee).

If you wish to appoint any new members of staff on your Project who are linked with any members of staff at your organisation, for example, any close friends, relatives, or ex-members of staff, you will need to obtain written permission from us first.

All salaries should be based on sector guidelines or similar posts elsewhere.

We are committed to ensuring that the heritage sector is inclusive and sustainable. You must use the Living Wage rate (and London Living Wage where applicable) for all Project staff. 

VAT 

We cannot cover the costs of VAT that you can reclaim, it is therefore your responsibility to seek appropriate advice.

If your VAT status changes during your Project we will reduce our contribution to the costs where you have managed to claim back the VAT.

VAT Underspend:

If you spend less on VAT than you have outlined in the Project Costs section of your Application, you can, with our permission, transfer the underspend to another cost heading if a clear need is demonstrated. You will need to demonstrate how these changes will help you to deliver your Project to achieve your Approved Purposes.

Worked Example A:

You have included a budget for VAT against the cost heading Professional Fees in your Application. After going through a tender process to appoint a consultant, the person you appoint is not VAT registered and therefore the budget for VAT on Professional Fees is no longer needed. 

During the tender process to appoint a contractor to carry out the conservation works you find the returned tenders are higher than you had budgeted you. The VAT underspend on Professional Fees could, with our permission, be transferred into the cost heading for Repair and Conservation to fund the deficit.

Refer to section 6.3 Budget Changes for further information about moving costs between headings.

VAT Overspend:

Where the cost of VAT exceeds the amount you have outlined in the Project Costs section of your Application we would expect you to find the additional costs from elsewhere (for example your own reserves or another funding source) as transferring funds from another cost heading to cover any VAT overspend could potentially impact on the delivery of your Project and the Approved Purposes. In certain circumstances we may allow for the use of your contingency to address VAT overspend, you must get in touch with us to discuss this.

Photographic Record 

We expect you to capture photographs throughout your Project showing your progress which you should submit with your Progress Reports (where relevant). You will need to provide a photographic record of your Project with your Completion Report and Final Payment Request form which includes at least five high-resolution digital images in electronic format (jpegs) showing different aspects of your Project.

The images should show your Project in action and its outcome. You will need to provide a sample of images that show your Project before, during and after it is finished.  When completing your Progress Report and Completion Report and Final Payment Request form you can let us know if material from your Project is available on the internet and where it can be found.

We may make use of your images in publicity material. You give us the right to use those you provide us with at any time, including altering them. You must get all the permissions required for you and us to make use of them before you use them or send them to us. These images, along with other Digital Outputs from your project, should also be shared with an Open Licence (Creative Commons Attribution 4.0 International). If you are not the rights holder, you must ensure you have agreement to share these images under this specified Open Licence.

You must ensure that you collect appropriate written consent from anyone who appears in these images that they can be reused in relation to publicity and promotional materials, and that they can be shared online under the specified Open Licence. This is particularly important where images include young people or vulnerable adults and where specific permission must be sought in advance. If you require any guidance on this please speak to us.

If your images are not suitable for sharing under an Open Licence, other arrangements will need to be put in place. Please speak to us as soon as possible.

Community Grants Scheme

As part of your Project, you may have asked us to contribute towards a ring-fenced pot of money that you can use to fund other groups/organisations (who we call Community Grantees) to deliver small discrete Projects (Community Grants). These Community Grants will contribute to the overall aims of your Project. Any Grants like this must demonstrate good value for money, and public benefit should outweigh any private gain. You will manage the funding pot, develop an application process with a decision panel and monitor progress. The Community Grant Scheme must also be publicised by you, so it is widely known and open to all. 

These grants may include activities on and/or capital works to land in third party ownership (see Appendix B). 

For more information about delivering a Community Grant Scheme and FAQs visit our website. 

Online Forms and Portal Login 

You will need to fill in a number of online forms to report on progress and claim your Grant. All forms can be accessed via the portal area of our website (the area where you completed and submitted your Application). 

The forms will be the same for both the Development and Delivery phases of your Project for Grants over £100,000. Where you have been awarded a Development Grant of less than £100,000 the Payment Request form will differ in structure (see section 8.1 and Appendix D & F). 

To log onto the portal, you will need to use the email address and password you used when applying for your Grant. If your email address has changed since you made your Application, contact your local National Lottery Heritage Fund office

If you have been awarded a Development Grant of less than £100,000 your Grant will be paid in three instalments, you will receive 50% of your Grant in advance once you have successfully submitted the Permission to Start form and the Payment Request form. You will receive the next 40% once you are able to provide evidence that the first 50% of your total Project costs have been spent and upon successful submission of the Progress Report and a second Payment Request Form. The final 10% of your Grant will be paid in arrears once your Project is complete (see section 9 for what we mean by complete) and you have submitted the Completion Report and Final Payment Request form. 

For all Grants over £100,000 your Grant will be paid in arrears once you provide evidence of Project expenditure, more information about both payment structures can be found in section 5 (Payment of your Grant) of this document. 

Log onto the application portal.

Online forms and the supporting documents required

Permission to Start Form

  • A copy of a recent bank statement, paying in slip or cheque (mandatory);
  • Project cashflow forecast (mandatory);
  • Project management structure and methods of choosing consultants, contractors and suppliers (mandatory);
  • Project timetable or work programme (mandatory);
  • Proof of partnership funding (mandatory if identified in your Application);
  • Fundraising plan (mandatory if applicable);
  • Documentary proof of Property ownership including for example up-to-date copies of the Land Registry title register (with plan), leases and evidence of any existing mortgages (mandatory if applicable);
  • Copy of completed legal charge (mandatory if applicable);
  • Proof of any necessary statutory permissions or licences (mandatory if applicable).

Progress Report

  • Photographs showing the progress of your Project (mandatory);
  • A record of activities or events that you have arranged (mandatory);
  • Job selection/appointment reports (mandatory if applicable).
  • Procurement reports (mandatory if applicable)

Payment Request Form

  • Project invoices received during the reporting period (mandatory);
  • Table of costs for amounts of less than £500 (mandatory if applicable).

Completion Report and Final Payment Request

  • Certificate of Practical Completion (mandatory for Projects that have undertaken capital works);
  • Project invoices received during reporting period (mandatory);
  • Table of costs for amounts of less than £500 (mandatory if applicable).
  • Photographic record of your Project (mandatory);
  • A list of Digital Outputs and the web address/es where these can be accessed (mandatory);
  • Evaluation Report (mandatory);
  • Record of Community Grants awarded (mandatory if applicable). 

There is a facility to attach supporting documents to all forms, the maximum number of supporting documents you may attach is 10. The maximum file size for each document is 5 megabytes (MB), the overall total size limit for all supporting documents is 20MB

It is important that submitted documents are legible and are given names that usefully describe their contents. In submitting invoices, these should be combined into a single file and set out in the order in which they appear in the claim. Scans should ideally be in monochrome (B&W or grey-scale) as these will be smaller files and allow you to attach more. 

All documents should be in PDF format, with the exception of spread-sheets which should be in their original format.

If you need to attach additional, or very large documents, then e-mail them to your local National Lottery Heritage Fund office making sure you quote your Project reference in the title. 

There is also an Acknowledgement Form available for requesting funding acknowledgement materials from us, for example construction signage boards, plaques, badges and stickers. Please note acknowledgement materials are free. For more information about acknowledgement refer to our website.   

Permission to Start 

We normally expect you to submit your Permission to Start form within three months of the date of your Grant Notification Letter. If there are substantial delays and it has not been received within six months we may decide to withdraw the offer of your Grant.

Before we are able to grant you permission to start your Project and release your Grant you will need to complete the following tasks (if applicable):

  • Secure partnership funding for Development or Delivery phase as appropriate (if identified in your Application);
  • Obtain statutory permissions, for example listed building consent or faculty (Delivery phase only);
  • Secure any necessary licences, for example a newt or bat licence;
  • Secure ownership of freehold or leasehold Property to meet our requirements – see Appendix A (Delivery phase only)
  • Create a programme for how you will complete the Development or Delivery phase as appropriate;
  • Create a cash-flow for Development or Delivery phase as appropriate
  • Define a Project management structure showing names and lines of responsibility;
  • Describe your proposals for procurement.

To start your Project, you must complete the Permission to Start form online. 

The form must be completed with at least two signatures in the Bank Account Details section and a further signature in the Declaration section. By signing the Declaration, you are confirming that your organisation accepts our Grant and agrees to comply with the Grant Contract. You should keep a signed copy for your records.

Once we have approved your request we will inform you. You can then start work on your Project. You should not start any work on your Project until you have our written permission to do so. If you do so it is at your own risk. 

Refer to Appendix C for a step-by-step guide of how to complete the Permission to Start form.

Development Phase Grants of less than £100,000

Once you have completed and submitted your Permission to Start form you will then need to complete the Payment Request for Grant Awards of less than £100,000 form to request the first advanced payment of 50% of your Grant. Refer to Appendix D for a step-by-step guide of how to complete the Payment Request for Grant Awards of less than £100,000.  More information about payment structure can be found in section 5.1.

Payment of your Grant

We aim to release your Grant payments within 10 working days of receiving your completed Payment Request forms and all the mandatory supporting documents. Payment will be made to the bank account identified in your Permission to Start form.

Payment Structure for Development Phase Grants of less than £100,000

Your Grant is paid in three instalments based on the following percentages:

  • 50%: Once we have granted you Permission to Start.
  • 40%: Once you can evidence that the 50% of the total Project costs have been spent.
  • 10%: Once your Project is complete.    

See section 5.3 for further details of how the final 10% of your Grant is paid. 

Payment Structure for Grants over £100,000 

We will pay your Grant in arrears once you are able to provide invoices or receipts that demonstrate your Project expenditure. We will agree a payment schedule with you at Permission to Start and payments will be made as the Project progresses, subject to you providing evidence of expenditure. 

You will need to use the Payment Request form (see section 8) to request payment of your Grant. We typically expect a Progress Report (see section 7) to be submitted with the Payment Request Form in order to receive a payment of your Grant as we will only release payments after being satisfied with the progress of your Project. 

We will pay a proportion of the costs you have incurred based on the Payment Percentage identified in your Grant Notification Letter. Therefore, if you provide invoices totalling £50,000 and your Payment Percentage is 85% your Grant payment will be £42,500.

The Payment Percentage is based on cash contributions (partnership funding) to your Project so may differ to the Grant Percentage which is based on cash contributions, in-kind contributions and volunteer time. Below is a worked example of how your Payment Percentage and Grant Percentage are calculated.

Worked Example B:

Grant Percentage

Total Project costs are £700,000, which includes £100,000 of volunteer time and other non-cash contributions. Your organisation is providing a cash contribution of £200,000 from reserves and your Grant is £400,000. The Grant Percentage is therefore 57% (Grant divided by total Project costs).

Payment Percentage 

When it comes to the Payment Percentage, your Grant remains £400,000 and your cash contribution is still £200,000. However, the Project cash costs are now £600,000 (discounting the volunteer time and non-cash contributions). The Payment Percentage is therefore 67% (Grant divided by Project cash costs).

See section 5.3 for details of how the final 10% of your Grant is paid. 

Final Payment for all Grant Amounts 

We withhold the final 10% of your Grant until the Project is completed and will only pay the full 10% if the total Project costs have been spent and are evidenced in your Completion Report and Final Payment Request form. 

If you spend less than your agreed costs and your Project completes under budget you will need to return any Grant that has not been spent to us. This will be calculated based on your overall Project costs and the Payment Percentage identified in your Grant Notification Letter. See section 9.1 for further details on how the final payment of under budget Projects is calculated. 

Updating us on your Project

Once we have confirmed you have Permission to Start you do not need to submit any further forms until you are ready to claim the first instalment of your Grant.  

However, you must get in touch with us as soon as possible about any problems or significant issues (for example issues that could lead to changes in costs, serious delays, or failure to deliver the Approved Purposes and Outcomes) that arise during the course of your Project so that we can respond and support you as appropriate. Let us know in advance about any events and update us on any successes and good news stories.

Project Changes 

You cannot change the Approved Purposes of your Project without our prior written agreement. If you want us to consider any changes to your Approved Purposes you must send us written details of the reasons for the request and explain how it will affect:

  • the quality and Outcomes of your Project;
  • the cost of your Project;
  • the time you need to complete your Project;
  • the future viability of your Project. 

We may then re-assess the Project or take any other action we consider necessary. We may give permission for the change only if you agree to keep to extra terms and conditions. 

Any changes that are agreed with us must be in writing and should also be reported in your Progress Report and/or Completion Report and Final Payment Request form.

Timetable Delays

If you think that you will not be able to complete your Project before the Grant Expiry Date identified in your Grant Notification Letter, then get in touch with us so we can discuss this with you. We try to be flexible but cannot guarantee an extension and we do not expect the Development phase of your Project to take more than a maximum of two years to complete from the date of your Development phase Grant Notification Letter. For the Delivery phase you have a maximum of five years to complete your Project from the date of your Delivery phase Grant Notification Letter. 

Budget Changes 

Your Grant Notification Letter includes the Project costs agreed as part of your Grant. All money spent on the Project should be reported against these cost headings.

If you need to make minor changes and move funds between these cost headings in order to achieve your Approved Purposes you can report on this in your Progress Report. You must demonstrate how these changes helped you to deliver your Project.

You must get in touch with us, in advance, if you want to propose any substantial changes to these cost headings and for any major spending of your contingency. 

If you spend less than your agreed costs and your Project completes under budget, we will adjust your final payment accordingly and you may need to return some of your Grant to us (see section 9.1 for details about how this is calculated).  

If the total Project cost increases during the course of the Project, we will only consider increasing your Grant in exceptional circumstances. In this case you will have to provide further information.

Progress Report Form

When you are ready to claim the first instalment (or second instalment for Development Grants of less than £100,000) of your Grant you will need to submit a Progress Report with your Payment Request form. You should use this form to keep us informed of the progress of your Project, we will agree at Permission to Start how many Progress Reports we will expect you to provide throughout the delivery of your Project.

We will monitor the progress of your Project to confirm that it is delivering the Outcomes identified in your Application and the Approved Purposes set out in your Grant Notification Letter. In between submitting your Progress Reports, it is important that you keep us informed of progress in reaching key milestones, for example appointment of contractors or staff, or issues arising so that we can respond and support you as appropriate.

Refer to Appendix E for a step-by-step guide of how to complete the Progress Report form. 

Payment Request Form 

Payment Request Form for Development Grants of less than £100,000

When you have spent the first 50% of your total Project costs you will need to submit a Payment Request form with your Progress Report form in order to request the second payment of your Grant (40%). If you predict that your Development phase will be significantly underspent, get in touch with us to discuss a variation to the standard 40% second payment. 

Refer to Appendix F for a step-by-step guide of how to complete the Payment Request form. 

Payment Request Form for Grants over £100,000

When you have invoices or receipts to demonstrate your Project expenditure you will need to submit a Payment Request form with your Progress Report form in order to request a payment of your Grant. Refer to section 5.2 for more information about how your Grant is paid. 

Refer to Appendix G for a step-by-step guide of how to complete the Payment Request form. 

Completion Report and Final Payment Request Form

Once your Project is complete you must submit the Completion Report and Final Payment Request form which can be accessed via the online portal. This form will allow you to claim the final payment of your Grant (up to 10%). We recommend that you do this as soon as you can gather all the information together and while your Project is still fresh in your mind.

This form must be submitted within three months of completing your Project. If we do not receive the report within this timescale, we may withhold your final Grant payment or ask for the repayment of some or all of your Grant. 

By complete we mean:

  • your Project is finished, and you have achieved your Approved Purposes;
  • you have acknowledged your Grant and promoted the National Lottery;
  • you have a Practical Completion Certificate (for Projects that have undertaken capital works); 
  • you have evaluated your Project and created a report; 
  • you can supply high resolution digital Project photographs (jpegs) and proof of acknowledgment of our funding.
  • you have listed the projects Digital Outputs and provided the web address (URL) of the website or websites where they can be  accessed.

Please note that we will not make your final payment until we have received and reviewed all the required information including your Evaluation Report.

Once you have made your final Grant request, we will not accept any further requests for payments from you. You should therefore agree your final accounts with your contractors and suppliers before you apply for the final Grant payment.

We will continue to keep in contact with you at intervals after the Project is completed including through our Customer Surveys.

Refer to Appendix H for a step-by-step guide of how to complete the Completion Report and Final Payment Request form. 

Projects Completing Under Budget 

If you spend less than your agreed costs and your Project completes under budget you will need to return any Grant that has not been spent to us. If the underspend is less than 10% of your Grant we will adjust the final payment of your Grant accordingly. If the underspend exceeds 10% of your Grant you will need to return the unspent Grant to us via cheque or BACS transfer (bank details are available upon request). Your final payment will be calculated based on your overall Project costs and the Payment Percentage identified in your Grant Notification Letter. 

Worked Example C:

Total Project cash costs are £500,000 (discounting the volunteer time and non-cash contributions). Your Grant is £400,000 and your cash contribution is £100,000. The Payment Percentage is therefore 80% (Grant divided by agreed costs). 

If your Project completes under budget we will adjust your final payment accordingly and you may need to return part of your Grant to us based on the Payment Percentage. For example, if your Project is £10,000 under budget and your total evidenced spend is £490,000, then based on the Payment Percentage of 80% your Grant would be adjusted to £392,000. Therefore, your final payment would be adjusted from £40,000 to £32,000.

Project Completion Date & Grant Contract Duration 

The formal Project Completion Date is the date of the letter we will send you at the end of your Project letting you know that we have received all the necessary documentation to record your Project as complete.  

Your Grant Notification Letter states the duration that the Grant Contract will apply to your Project during which you must maintain your ongoing Project commitments. These start once we have signed your Permission to Start form and may last for a number of years after your Project completes, depending on the nature of your Project, as follows:

  • Activity (for example an exhibition and/or event with no digital outputs): the Grant contract ends on the Project Completion Date;
  • Capital (for example new building or restoration works): twenty years after the Project Completion Date;
  • Digital (for example the creation of a website): twenty years after the Project Completion Date;
  • Acquisition: If your Project includes buying a heritage item, land or building, the terms of the Grant Contract will last indefinitely. If you wish to dispose of what you have bought in future, you must ask for our permission and we may claim back all or part of your Grant (see Appendix A for more information). 

A delay in submitting your Completion Report and Final Payment Request form will extend the duration of the Grant Contract.

Appendix A: Property Ownership

Ownership

We expect you to own any Property (land, buildings, heritage items or intellectual Property) on which you spend your Grant. If you do not meet our ownership requirements at Development phase, you will need to improve your rights in your Development phase (for example, by amending or extending a lease) or include the owner as a joint applicant in your Application. For further guidance on our requirements for land in third party ownership see Appendix B.

Land and buildings 

For Projects that include works on land and buildings, you must own the freehold or have a lease that meets our requirements:

  • For Projects involving work to a building or land, if your organisation does not own the freehold, you will need a lease with at least 20 years left to run after the Project Completion Date;
  • We do not accept leases with break clauses (these give one or more parties to the lease the right to end the lease in certain circumstances);
  • We do not accept leases with forfeiture on insolvency clauses (these give the landlord the right to end the lease if the tenant becomes insolvent);
  • You must be able to sell on, sublet and mortgage your lease but if we award you a Grant, you must first have our permission to do any of these.

Acquisitions 

If your Project involves buying land or buildings, you must buy them freehold or with a lease with at least 99 years left to run.  

As part of the acquisition process your solicitor will need to sign an undertaking (in a form which we will supply). 

Taking Security for the Grant

Legal Charge 

It is our policy to take a charge over the Grant funded Property when you are a non-public body, your Project involves capital works and your Grant is over £250,000.

Before Permission to Start we will require:

  • Your solicitor to provide official copies of the current title register with plan or the necessary information to enable us to draft the charge documentation;
  • An undertaking from your solicitor to act on our behalf to carry out all relevant pre-completion searches and to register the charge at the Land Registry and at Companies House (if appropriate);
  • A certificate of title completed by your solicitors (in a form which we will supply); 

You will be responsible for the fees and costs of your solicitor, but you may include the cost of legal advice, as part of the Project costs in your Application.

We will not issue Permission to Start until we have received the relevant security documents completed to our satisfaction.

Restriction on Title 

If you are a public body such as a local authority or a university, we will require a restriction on your Land Registry title to ensure you seek our consent before entering into any future transactions relating to the Grant funded Property.

Before Permission to start we will require an undertaking from your solicitors to lodge such a restriction at the Land Registry. 

Solicitor Details

If either of the above security requirements apply to your Project, you will need to send us your solicitor’s contact details as soon as possible following your Delivery phase Grant Notification Letter. 

Heritage items 

For Projects involving buying a heritage item or carrying out conservation work to a heritage item (for example, a steam train or a painting), you must buy or own the item outright. 

We cannot fund private individuals or for-profit organisations to buy buildings, land or heritage items. 

If you are borrowing item/s as part of the Project (for example, for an exhibition) and are asked to contribute towards the costs of conservation then we may accept this cost if it forms a small part of your Project. The owners of the item/s may need to be tied into your Partnership Agreement or tied into the Grant Contract if a Grant is awarded. Contact us to talk about this if you think this will apply to your Project.

If your capital building Project is for the purpose of storing or displaying a collection that you do not own, we will require the owner of the Collection to be tied into the Grant Contract if a Grant is awarded. Contact us to discuss this if you think this will apply to your Project.

In some circumstances we may require a fixed charge over a heritage object or collection.

We have specific requirements, which are set out in your Standard Terms of Grant, for ‘digital outputs’ produced as part of any National Lottery Heritage Fund Project. We are using the term ‘digital output’ to cover anything you create in your Project in a digital format which is designed to give access to heritage and/or to help people engage with and learn about heritage. For example, this could be includes photographs, text, software, web and app content, databases, 3D models, sound and video recordings.

Items created in the management of the project, for example emails between team members and records of meetings, are not included in the requirement.

All digital outputs must be: 

  • ‘available’ (i.e. the outputs are freely available online; copies of the digital files are held securely and you can give access to these on demand) for twenty years from the project completion date, unless we have agreed otherwise.
  • ‘usable’ (the outputs function as intended and are kept up-to-date)
  • ‘open’ (digital outputs are licensed for use by others under the Creative Commons ‘Attribution 4.0 International (CC-BY 4.0) licence, with the exception of code and metadata, which should be released under a Public Domain Dedication, unless we have agreed otherwise.

There is more information about our licensing requirements for projects on our website. 

We expect: 

  • websites to meet at least W3C Double A accessibility standard; 
  • you to use open data, software and services where possible;
  • you to contribute digital outputs to appropriate heritage collections and open knowledge projects. 

If you are creating digital outputs:  

You must provide a management and maintenance plan with your Delivery phase Application.

Appendix B: Land in Third Party Ownership

For Natural and Landscape Projects

Where the land which is the subject of your Grant is owned by a third party or multiple third parties, agreements should be put in place between the Grantee and each land owner. There is no prescribed form of agreement, but the National Lottery Heritage Fund has specific requirements which should be included in any third-party land owner agreements. At a minimum, the land owner agreements should include the following: 

  1. Details of the parties; 
  2. Confirmation as to how the land is held (freehold or leasehold); 
  3. A description of the Property (including plans); 
  4. Covenants on the part of the land owner to maintain the land and provide public access in accordance with the terms of the Grant Contract (as applicable); and 
  5. A provision that any onward disposal should be subject to the third-party agreement. 
  6. That the agreement will last for 10 years following the Project Completion Date.

You will need to provide us with copies of the landowner agreements to ensure compliance with these requirements. The land owner agreements will need to be completed and in place before any Grant monies are released for work on each plot of land owned by a third party. 

For capital works to built heritage – e.g. buildings, ornamental gardens

If your Project involves substantial work to a heritage building which is owned by a third party, we will usually expect the owner to become a joint Grantee or to grant you a lease which meets our requirements (as set out above). In some situations, rather than join in the owner we may ask them to sign a side letter which we will prepare.

Community Grants

You may wish to make Community Grants payments to third party owners (including private owners) for activities and capital works that contribute to achieving Project Outcomes. If you are the lead applicant, you are responsible for ensuring that the specific Project Outcomes are delivered by third party landowners (the Community Grantees) and that the Grant Contract is complied with, including repayment of the Grant if necessary. 

This should be formalised through third-party agreements that define the Outcomes to be delivered on third party land and secure the management and maintenance of capital works from the expected date of the works’ completion, until 10 years after the Project Completion Date. This should be a legal agreement between you and the Community Grantee. 

Legal Costs

You may include the costs of adapting and setting up any third-party agreements, including the cost of taking legal advice, as part of the costs in your Application.

Appendix C: Permission to Start Form 

Permission to Start form step-by-step guide:

Project Details

The first page of the Permission to Start form is automatically populated with your Project reference number, Project title, organisation and Grant Expiry Date. 

Approved Purposes

The Approved Purposes summarise the Project described in your Application. We will monitor your Project against the Approved Purposes described in your Grant Notification Letter. 

This section of the Permission to Start form will pull through automatically from your Grant Notification Letter. 

Agreed Costs

This section displays a table of the Project costs agreed as part of your Grant. All money spent on the Project should be reported against the cost headings used. 

There is the ability to amend costs here if they have changed since your Grant was awarded. If you plan to do this, you will need to inform us before completing this form. 

As part of this section you will need to attach an up-to-date Project cashflow forecast which shows the cost of each of the main cost headings of your Project and when you expect that the funds will be spent. In your breakdown you must identify separately any amount allowed for VAT and contingency. 

Your cashflow should show the planned timing of your income (including partnership funding) and expenses over the life of either the Development or Delivery phase of your Project (depending on which stage you have reached). You must show clearly the expected timing of your Grant payments. This is a mandatory supporting document. 

Partnership Funding

This section displays the agreed Cash Contribution (partnership funding) and in-kind contributions. If your Project costs include income from another source you should provide proof that this is secured (by secured we mean cash that is in your bank reserved specifically for this Project or formally offered grant money), for example, a letter confirming a contribution from a funding body. All partnership funding identified should be in place before Permission to Start can be Granted.

If all of your partnership funding is not in place, then we may exceptionally consider accepting a realistic fundraising plan or confirmation that any shortfall is underwritten. We will only accept a fundraising plan if the Project can be divided into separate phases, for example the separate RIBA stages, and you can show that the fund-raising plan is achievable. You must raise your partnership funding in line with the agreed phases and get our permission each time you want to start a new phase. 

Attach the relevant supporting documents required in this section.

Timetable or Programme

As part of this section you will need to attach your proposed timetable or work programme with milestones that includes dates for submitting Payment Request forms and Progress Reports. 

This is a mandatory supporting document.

Attach the relevant supporting documents required in this section.

Project Management and Procurement 

As part of this section you will need to attach details of your Project management structure and methods for choosing consultants, contractors and suppliers. This is a mandatory supporting document.  

This document should include:

  • The names of the people who can sign documents for your organisation;
  • A copy of the organisation chart for managing your Project which clearly names the Project manager or Project co-ordinator and other people or organisations who will be working on the Project and sets out their roles and lines of communication; 
  • Details of the responsibilities for Project direction and decision making including change control and budget management; 
  • Briefs for commissioning services to be paid for through your Grant and job descriptions for posts to be funded through your Grant; 
  • A statement of how you will choose and manage your goods, works and services contracts (more information on Procurement can be found in section 2.4). It must also include details of how you intend to recruit any Project staff (more information on Recruitment can be found in section 2.5).

Attach the relevant supporting documents required in this section. 

Proof of Ownership

If applicable, we expect you to own any Property (land, buildings, heritage items or intellectual Property) on which you spend your Grant - see Appendix A.

Attach the relevant supporting documents required in this section for example a copy of the Land Registry title register (with plan), leases and evidence of any mortgages (if applicable).  

If you provided evidence of the proof of ownership with your Application select N/A unless the ownership status has changed in any way since your Application to us e.g. you have extended your lease or amended any clauses to meet our requirements.

Statutory Permissions and Licences

If applicable, list the statutory permissions or licences you need to complete your Project and the date they were secured. If they are yet to be secured you should discuss this with us before submitting this form.   You should obtain the relevant statutory approvals or permissions that you need for your Project before work starts. There may be other permissions or licences involved which are not listed below but frequent examples include:

  • planning permission;
  • listed building consent;
  • consents from relevant legal body for example Natural England;
  • protected species licence for example a bat or newt licence;
  • tree felling licence;
  • faculty;
  • scheduled monument consent. 

If you are undertaking activities on other people’s land or Property, we expect you to have gained the consent of the land or Property owner.

Attach the relevant supporting documents required in this section.

Bank Account and VAT Details

Provide your account name, number and sort code as it appears on your bank statement. 

We will pay your Grant by bank transfer (BACS). Your Grant can only be paid to the named Grantee specified in your Grant Notification Letter. 

We will need to see a copy of a recent bank statement (within the last three months), or a cheque or a paying-in slip for the relevant account, showing the bank account’s name, sort code and account number. You can attach a scanned version of any of these documents to your form. If you are providing an online bank statement you must ensure the electronic version includes the bank logo, the website address (URL) and the account name, number and sort code. 

We can accept the following file formats:

  • PDF
  • JPEG

We cannot accept a Word document. 

Attach the relevant supporting documents required in this section.

Declaration

By submitting your Permission to Start and Payment Request form online, you are confirming that your organisation agrees to be bound by the Grant Contract. The Declaration should be signed by an authorised signatory for your organisation. 

If you are delivering your Project in partnership with another organisation you can add additional contacts to the Declaration.

Attachments and Submission

If you have not already uploaded the following documents to your form, use the Attach button to do so now:

  • a copy of a recent bank statement, paying in slip or cheque (mandatory);
  • proof of partnership funding (mandatory if identified in your Application);
  • fundraising plan (mandatory if applicable);
  • documentary proof of Property ownership including for example up-to-date copies of the Land Registry title register (with plan), leases and evidence of any existing mortgages (mandatory if applicable);
  • copy of completed legal charge (mandatory if applicable);
  • proof of any necessary statutory permissions or licences (mandatory if applicable);
  • Project cashflow forecast (mandatory);
  • Project management structure and methods for choosing consultants, contractors and suppliers (mandatory);
  • Project timetable or work programme (mandatory). 

When submitting supporting documents use descriptive file names. 

Once you have completed the form you will need to sign the Bank Account Details and Declaration sections before submitting the form online. This can be done in a number of ways. 

If you have a device that allows you to physically sign a PDF document on screen you can select the Create PDF option, sign the Bank Account Details and Declaration sections and then attach a saved version to your form before submitting it online.  

If your device does not have this feature you can print a copy, sign it and then scan the signed sections and attach the file to your form before submitting it online. Alternatively, you can send an original signed and dated hard copy by post to your local National Lottery Heritage Fund office. 

We need at least two signatures from people nominated as signatories in the Bank Account section of the form and one signature in the Declaration section. The person signing the Declaration must have the authority to do so. We may require you to provide proof of authority for auditing purposes. 

By signing the Declaration, you are confirming that your organisation understands and accepts the Grant in accordance with the Grant Contract.

When you are ready select Submit. We are not able to authorise Permission to Start or make payments without all mandatory supporting documents.

Please note: once you have submitted the form you cannot make any changes to it and it cannot be recalled.

Appendix D: Payment Request for Grant Awards of less than £100,000 form – Advanced payment of 50%

Payment Request for Grant Awards of less than £100,000 form – 1st Payment step-by-step guide:

Project Details

The first page is automatically populated with your Project reference number, Project title, organisation and Grant Expiry Date. 

Your Payment Request

Select that you are requesting the first advanced payment of 50% of your Grant. 

If your bank account details have changed since your previous payment you should provide up to date information and attach the relevant supporting document in this section. 

Agreed Costs

This section displays the Project costs agreed as part of your Grant. All money spent on the Project should be reported against these headings. 

Submission

If your bank account details have changed since you submitted your Permission to Start form, you will need to attach a recent bank statement or cheque or paying in slip. 

You do not need to attach any further supporting documents unless requested to do so by us. 

When you have completed the form click the Submit button. You can view what you have entered by clicking the Create PDF button.

Please note: once you have submitted the form you cannot make any changes to it and it cannot be recalled.

Appendix E: Progress Report Form

Progress Report form step-by-step guide:

Project Details

The first part of the form will be automatically populated. 

Using either the calendar icon or the drop-down boxes select the dates the Progress Report covers. 

Approved Purposes

Using the option to edit you should provide a summary of your progress to date against each of the Approved Purposes of your Grant. Tell us about your achievements and successes, as well as things that aren’t going as well as expected.

You will also need to provide an update on how your Project is achieving the Outcomes that you selected in your Application and how you are measuring this. If you are unsure what Outcomes you selected refer back to your Application which is available on the portal homepage.  

Additional Grant Conditions

If Additional Grant Conditions have been identified in your Grant Notification Letter you should provide details of these and a summary of your progress. 

If this does not apply, continue to the next section. 

Identifying, Charting and Managing Risk

The risks that you identified in the Managing your Project section of your Application will be displayed. Tick the relevant box if the risk has now been resolved/completed. 

You can also identify any difficulties you are experiencing and how you intend to overcome them by selecting the add item option and inputting the required information. 

You should also inform us of any changes that have taken place to the governance of your Project or organisation since your Permission to Start form or previous Progress Report and whether this will have an impact on the Approved Purposes. This may include changes to key personnel.

Project Timetable

Using the calendar icon or the drop-down boxes select the likely overall completion date of your Project, don’t forget to factor in time to submit your Completion Report and Final Payment Request form and Evaluation Report (this must be submitted within 3 months of Project completion). 

The Grant Expiry Date will automatically populate, if you select that your Project will complete after the Grant Expiry Date and you wish to request an extension provide details of why the delay has occurred in the text box provided. 

You should get in touch with us to discuss this further and you may be asked to provide an updated Project plan. 

We cannot guarantee an extension and expect all Projects to complete within five years.

The detailed timetable that you identified in the Managing your Project section of your Application will be automatically populated in the table. Provide an update on the activities or milestones. 

If you wish to propose any new Project activities or milestones you can do so by selecting the add item option. 

Statutory Permissions

If applicable, list any new statutory permissions or licences you have received since your last report and the date they were secured. 

All new permissions and licences can be attached to the final section of this form.

Partnership Funding Update

If applicable, tell us about any partnership funding you have raised since your last report. 

If you included information of any volunteer involvement or non-cash contributions that would be given to the Project in your Application, you should use the second table to tell us about the support you have received since your last report. 

By volunteers we mean the people who are contributing their time to help deliver your Project rather than only taking part in it.

This could include administrative work, leading a guided walk, clearing a site or working as a steward at an event.

The hourly rate for volunteer skill level will automatically calculate based on the task category and the total number of volunteer hours you enter. You will need to identify from the drop-down menu the volunteer skill level, the headings are:

  • Professional Volunteer – (for example accountancy or teaching) - £50 an hour;
  • Skilled Volunteer – (for example administrative work, carpentry or leading a guided walk) - £20 an hour;
  • Volunteer – (for example, clearing a site or working as a steward at an event) - £10 an hour.

Consultants, Contractors and Suppliers

Refer to section 2.7 of this document for information about the procedures you must follow when recruiting consultants, contractors and suppliers. 

In this section of the form you will need to select whether you have purchased goods, works or services worth £10,000 or more since your last report. 

If you select Yes you will need to provide details of the services you have purchased, for example professional fees for a project manager. You will also need to provide the value of the services, the date the contract was awarded and the name of the contractor/supplier/consultant. Select whether this was the lowest quote you received. 

If you did not award the contract to the lowest quote/tender, give details in the second table of the contractor/supplier/consultant appointed and the number and value of other quotes/tenders you received. You’ll also need to provide a reason why the selected quote/tender offered the best value. 

Select whether any of the contractors/suppliers/consultants were linked for example close friends or relatives or if there is any financial link such as ownership of these suppliers. 

Using the text box provided explain why the contractor/supplier/consultant was appointed. 

Recruitment of Staff

Refer to section 2.8 of this document for information about the procedures you must follow when recruiting staff.

Select whether you recruited any staff since your last report. 

If applicable, use the table provided to give information on any new fixed-term contracts, secondments (people who are temporarily transferred to your organisation) and the costs of freelance staff to help your Project.

Tell us if any of the new members of staff appointed to work on your Project were linked with any members of staff at your organisation – for example, any close friends, relatives, or ex-members of staff. 

Using the text box provided explain why this person was employed. 

You will need to attach job appointment/selection details in the final section of this form.

Changes to Agreed Costs

Complete this table if there are significant changes to your costs that have been approved by us. 

Include any requests for use of contingency in this table. You must get our permission for major spending of the contingency against any individual elements before committing expenditure. 

Refer to section 2.9 for further details on our VAT Guidelines.  

Project Records

Photographs – we expect you to keep a photographic record of your Project. Provide any images you have captured so far to demonstrate the progress of your Project. 

Refer to section 2.10 for more information about your Photographic Records Guidelines. 

We would also like to see copies of records of events or activities.

You can use this section of the Progress Report to attach photographs and a record of activities or events. 

Funding Acknowledgement and Public Relations

As part of the Grant Contract you commit to acknowledging your Grant and promoting the National Lottery. Give us an overview of the steps you have taken to acknowledge your Grant to date

When submitting your Progress Report, you must provide an outline of how, where and when you are featuring the National Lottery logo at your Project and on your website. You must also provide an overview of how you are promoting the National Lottery funding of your Project in the media e.g. through local press/broadcast coverage, online and through regular social media activity; at Project events and openings.  

We reserve the right to stop making payments and to request repayment of some or all of your Grant if you do not acknowledge our funding.

Attachments and Submission

If there is any further information you wish to share with us on your Project that is not covered elsewhere then provide this information in the text box in this section. 

Use the Attach button to upload the following supporting documents:

  • Proof of any new necessary statutory permissions or licences (mandatory if applicable);
  • Proof of any new partnership funding (mandatory if applicable);
  • Photographs showing the progress of your Project (mandatory);
  • A record of activities or events that you have arranged (mandatory);
  • Job selection/appointment details (mandatory if applicable).

When submitting supporting documents and photographs use descriptive file names. 

When you have completed the form click the Submit button. You can view what you have entered by clicking the Create PDF button. 

Please note: once you have submitted the form you cannot make any changes to it and it cannot be recalled.

Now complete the Payment Request Form if you wish to claim a Grant payment.

Appendix F: Payment Request for Grant Awards of less than £100,000 – Second Payment of 40%

Payment Request for Grant Awards of less than £100,000 form – 2nd Payment step-by-step guide:

Project Details

The first page is automatically populated with your Project reference number, Project title, organisation and Grant Expiry Date. 

Your Payment Request

Select that you are requesting the second payment of 40% of your Grant. Please note you cannot request this until you have invoices and/or receipts equal to or more than 50% of your overall Project costs. You should contact us if you think that you will be significantly underspent and will not require the full 40 to complete the Development phase.

If your bank account details have changed since your previous payment you should provide up to date information and attach the relevant supporting document in this section. 

Agreed Costs

This section displays the Project costs agreed as part of your Grant. All money spent on the Project should be reported against these headings. 

Spending Summary

If your VAT status has changed during this reporting period, you must provide us with up to date information.

Complete the Spending Summary table to demonstrate how you have spent your Grant since your last request. The table will automatically add up all invoices and receipts entered and calculate the eligible cost of each based on the information you enter. 

We do not want to see copies of pay slips for staff appointed for the Project, provide either a finance ledger or a signed letter outlining the staff costs.

Provide a separate breakdown showing how the figure you have entered for Full Cost Recovery has been calculated, if applicable. 

For amounts of less than £500 you should provide a separate table of costs for each cost heading which specifies the date, amount and description of each item of expenditure. The total of your table should match the single entry you input on your Project costs table using the relevant cost heading.

For each invoice or other entry on the claim you should complete the table of expenditure as follows. Select Add spending item to populate the table:

  • Cost Heading: in the first row, select the appropriate cost heading from the drop-down list using only those headings that are in Question 6 of your Application and which are confirmed in your Grant Notification Letter. An example might be Event cost or Training for volunteers;
  • Invoice Reference, Date & Name of Supplier: in the next three rows you should provide the invoice or receipt reference (if applicable), the date of the invoice or receipt and the name of the supplier; 
  • Description: use the fifth row to provide a brief description of what is included in each invoice or receipt;
  • Total of Invoice (excluding VAT): in the next row you need to enter the total amount of the invoice or receipt excluding VAT; 
  • Value of Agreed Costs (if different from total) excluding VAT: if the invoice or receipt includes costs not related to your Project, then enter the amount eligible to claim, excluding VAT in the seventh row. For example, the invoice total is £5,000 but only £4,000 relates to your Project – enter £5,000 into the total of invoice row and £4,000 in the value of agreed costs row. If all costs relate to your Project, you can leave this row blank. 
  • VAT for Agreed Costs: Enter the VAT of the amount of irrecoverable VAT that you are claiming.

If any of your invoices or receipts include costs which are not part of your eligible Project costs you must provide a separate breakdown of these showing clearly which costs we have agreed to support.

You must provide copies of all invoices or receipts over £500 by selecting the attach proof of expenditure button. The copies should be in PDF format and organised in the order in which they appear in the claim. Images should be as space efficient as possible – generally scans in Black & White or greyscale are adequate.

Please note: when filling in the Spending Summary you should not include any in-kind contributions (non-cash contributions and/or volunteer time).

Submission

If you have not already uploaded the following documents to your form, use the Attach button to do so now:

  • Recent bank statement or cheque or paying in slip (mandatory if your account details have changed during this reporting period);
  • Project invoices received during this reporting period (mandatory);
  • Table of costs for amounts of less than £500 (mandatory if applicable).

When submitting supporting documents use descriptive file names. 

When you have completed the form click the Submit button. You can view what you have entered by clicking the Create PDF button.   

Please note: once you have submitted the form you cannot make any changes to it and it cannot be recalled.

Appendix G: Payment Request Form – Grants over £100,000

Payment Request form step-by-step guide:

Project Summary 

This section will automatically populate with the details of your Project and the total amount of your Grant you have received so far.

Your Payment Request

Using either the calendar icon or the drop-down boxes you can select the dates the Payment Request form covers. 

If your bank account details have changed during this reporting period, you should provide up to date information in this section.

Spending on agreed costs that this payment will cover

If your VAT status has changed during this reporting period, you must provide us with up to date information.

Complete the Spending Summary table to demonstrate how you have spent your Grant since your last request. The table will automatically add up all invoices and receipts entered and calculate the eligible cost of each based on the information you enter. 

We do not want to see copies of pay slips for staff appointed for the Project, provide either a finance ledger or a signed letter outlining the staff costs.

Provide a separate breakdown showing how the figure you have entered for Full Cost Recovery has been calculated, if applicable. 

For amounts of less than £500 you should provide a separate table of costs for each cost heading which specifies the date, amount and description of each item of expenditure. The total of your table should match the single entry you input on your Project costs table using the relevant cost heading.

For each invoice or other entry on the claim you should complete the table of expenditure as follows. Select Add spending item to populate the table:

  • Cost Heading: in the first row, select the appropriate cost heading from the drop-down list using only those headings that are in Question 6 of your Application and which are confirmed in your Grant Notification Letter. An example might be Event cost or Training for volunteers;
  • Invoice Reference, Date & Name of Supplier: in the next three rows you should provide the invoice or receipt reference (if applicable), the date of the invoice or receipt and the name of the supplier; 
  • Description: use the fifth row to provide a brief description of what is included in each invoice or receipt;
  • Total of Invoice (excluding VAT): in the next row you need to enter the total amount of the invoice or receipt excluding VAT; 
  • Value of Agreed Costs (if different from total) excluding VAT: if the invoice or receipt includes costs not related to your Project, then enter the amount eligible to claim, excluding VAT in the seventh row. For example, the invoice total is £5,000 but only £4,000 relates to your Project – enter £5,000 into the total of invoice row and £4,000 in the value of agreed costs row. If all costs relate to your Project, you can leave this row blank. 
  • VAT for Agreed Costs: Enter the VAT of the amount of irrecoverable VAT that you are claiming.

If any of your invoices or receipts include costs which are not part of your eligible Project costs you must provide a separate breakdown of these showing clearly which costs we have agreed to support.

You must provide copies of all invoices or receipts over £500 by selecting the Attach proof of expenditure button. The copies should be in PDF format and organised in the order in which they appear in the claim. Images should be as space efficient as possible – generally scans in Black & White or greyscale are adequate.

The amount you are requesting will auto calculate based on the information you provide in the Spending Summary. 

Your Grant payment will be based on the Payment Percentage identified in your Grant Notification Letter. See section 5.2 for details of how your payments are calculated. 

Please note: when filling in the Spending Summary you should not include any in-kind contributions (non-cash contributions and/or volunteer time).

Comparison of agreed budget and actual costs to date

The table in this section will automatically populate based on the information you provide in the Spending Summary of the previous section. 

Please note: this table does not include any in-kind contributions or volunteer time which, if relevant, should be reported on in your Progress Report. 

Using the text box provided you can list any contingencies, unexpected extra costs or any underspend.  Refer to section 6.3 for more details about Budget Changes. 

Submission

If you have not already uploaded the following documents to your form, use the Attach button to do so now:

  • Recent bank statement or cheque or paying in slip (mandatory if your account details have changed during this reporting period);
  • Project invoices received during this reporting period (mandatory);
  • Table of costs for amounts of less than £500 (mandatory if applicable).   

When submitting supporting documents use appropriate file names. 

When you have completed the form click the Submit button. You can view what you have entered by clicking the Create PDF button.

Please note: once you have submitted the form you cannot make any changes to it and it cannot be recalled.

Appendix H: Completion Report and Final Payment Request Form 

Completion Report and Final Payment Request form step-by-step guide:

Project Details

The first part of the form will be automatically populated. 

Using either the calendar icon or the drop-down boxes you can select the dates the Completion Report and Final Payment Request form covers. 

Approved Purposes

Using the option to edit you should provide a summary of your progress since your last report against each of the Approved Purposes of your Grant. You will be able to provide an overall summary of the Approved Purposes later in this form.   You will also need to provide a final overview on how your Project has achieved the Outcomes that you selected in your Application and how you measured this. If you are unsure what Outcomes you selected refer back to your Application which is available as a PDF on the portal homepage.  

Additional Grant Conditions 

If Additional Grant Conditions have been identified in your Grant Notification Letter you should provide details of these and a final summary of how they have been met. 

If this does not apply, continue to the next section. 

Statutory Permissions

If applicable, list any new statutory permissions or licences you have received since your last Progress Report and the date they were secured. 

All required permissions and licences must be in place by this stage, evidence can be attached to the final section of this form. 

Partnership Funding Update 

Using the first table, tell us about any partnership funding you have raised since your last Progress Report, if applicable.  

Use the second table to tell us about any volunteer or non-cash contributions you have received since your last Progress Report. 

The hourly rate for volunteer skill level will automatically calculate based on the task category and the total number of volunteer hours you enter. You will need to identify from the drop-down menu the volunteer skill level, the headings are:

  • Professional Volunteer – (for example accountancy or teaching) - £50 an hour;
  • Skilled Volunteer – (for example administrative work, carpentry or leading a guided walk) - £20 an hour;
  • Volunteer – (for example, clearing a site or working as a steward at an event) - £10 an hour.

Consultants, Contractors and Suppliers

Refer to section 2.7 of this document for information about the procedures you must follow when recruiting consultants and contractors.

In this section of the form you will need to select whether you have purchased goods, works or services worth £10,000 or more since your last report.

If you select Yes you will need to provide details of the services you have purchased, for example professional fees for a project manager. You will also need to provide the value of the services, the date the contract was awarded and the name of the contractor / supplier / consultant. You will also need to select whether this was the lowest quote you received. 

If you did not award the contract to the lowest quote/tender, give details in the second table of the contractor/supplier/consultant appointed and the number and value of other quotes/tenders you received. You’ll also need to provide a reason of why the selected quote/tender offered the best value. 

You also need to select whether any of the contractors/suppliers/consultants were linked for example close friends or relatives or if there is any financial link such as ownership of these suppliers. 

Using the text box provided explain why the contractor/supplier/consultant was appointed. 

Recruitment of Staff

Refer to section 2.8 of this document for information about the procedures you must follow when recruiting staff.

Select whether you recruited any staff during since your last report. 

If applicable, use the table provided to give information on any new fixed-term contracts, secondments (people who are temporarily transferred to your organisation) and the costs of freelance staff to help your Project.

Tell us if any of the new members of staff appointed to work on your Project were linked with any members of staff at your organisation – for example, any close friends, relatives, or ex-members of staff. 

Using the text box provided explain why this person was employed. 

You will need to attach job selection/appointment details at the end of this form.

You should also inform us of any changes that have taken place to the governance of your Project or organisation since your last Progress Report and whether this will have an impact on the Approved Purposes. This may include changes to key personnel. 

Final Payment Request

If your bank account details have changed during this reporting period, you must provide us with up to date information in this section. 

The following sections will be automatically populated based on your Grant, the amount you have received so far and the Payment Percentage. The request amount will update automatically based on the information you enter into the Spending Summary. 

If your VAT status has changed during this reporting report, you must provide us with up to date information. 

Complete the Spending Summary table to demonstrate how you have spent your Grant since you submitted your Payment Request Form. You do not need to include invoices or receipts you have previously provided. The table will automatically add up all invoices and receipts entered and calculate the eligible cost of each based on the information you enter. 

We do not want to see copies of pay slips for staff appointed for the Project, provide either a finance ledger or a signed letter outlining the staff costs.

Provide a separate breakdown showing how the figure you have entered for Full Cost Recovery has been calculated, if applicable. 

For amounts of less than £500 you should provide a separate table of costs for each cost heading which specifies the date, amount and description of each item of expenditure. The total of your table should match the single entry you input on your Project costs table using the relevant cost heading.

For each invoice or other entry on the claim you should complete the table of expenditure as follows. Select Add spending item to populate the table:

  • Cost Heading: in the first row, select the appropriate cost heading from the drop-down list using only those headings that are in Question 6 of your Application and which are confirmed in your Grant Notification Letter. An example might be Event cost or Training for volunteers;
  • Invoice Reference, Date & Name of Supplier: in the next three rows you should provide the invoice or receipt reference (if applicable), the date of the invoice or receipt and the name of the supplier; 
  • Description: use the fifth row to provide a brief description of what is included in each invoice or receipt;
  • Total of Invoice (excluding VAT): in the next row you need to enter the total amount of the invoice or receipt excluding VAT; 
  • Value of Agreed Costs (if different from total) excluding VAT: if the invoice or receipt includes costs not related to your Project, then enter the amount eligible to claim, excluding VAT in the seventh row. For example, the invoice total is £5,000 but only £4,000 relates to your Project – enter £5,000 into the total of invoice row and £4,000 in the value of agreed cost row. If all costs relate to your Project, you can leave this row blank. 
  • VAT for Agreed Costs: Enter the VAT of the amount of irrecoverable VAT that you are claiming.

Where we have agreed to pay a contribution towards the Management and Maintenance Plan you will need to provide a signed letter confirming your commitment and quantifying the amount you agree on an annual basis for the duration of the agreed plan. The amount for this aspect should be identified in your Spending Summary. 

If any of your invoices or receipts include costs which are not part of your eligible Project costs you must provide a separate breakdown of these showing clearly which costs we have agreed to support.

You must provide copies of all invoices or receipts over £500 at the end of this form. The copies should be in PDF format and organised in the order in which they appear in the claim. Images should be as space efficient as possible – generally scans in Black & White or greyscale are adequate.

If you have not spent all of your Projected total Project costs, then your final Grant payment will be adjusted to reflect this. See section 9.1 for further details on how the final payment of under budget Projects is calculated. 

Comparison of agreed budget and actual costs to date 

The table in this section will automatically populate based on the information you provide in the Spending Summary of the previous section. 

The remaining contingency and VAT excess / savings will automatically calculate based on your Spending Summary.

Refer to section 6.3 for more details about Budget Changes.

Approved Purposes 

Using the option to edit you should provide a final overall summary of your achievements against each of the Approved Purposes of your Grant. Tell us about your successes, as well as the things that didn’t go as expected. 

Summary of total partnership funding raised

Use the first table to tell us about the total amount of partnership funding raised, including the amount you originally expected and the amount you received. If these differ you will need to explain why this is the case.

The second table is a summary of total volunteer and non-cash contributions your Project has received and will auto populate based on the information you have provided in previous Progress Reports and this form. If any of the details are incorrect you can edit the information at this point if necessary.

Summary of Recruitment during the Project

This table will auto populate based on the information submitted in previous progress reports and this form. If any of the details are incorrect you can edit the information at this point if necessary. 

Project Records

Photographs – we expect you to keep a photographic record of your Project. 

Refer to section 2.10 for more information about your Photographic Records Guidelines. 

We would also like to see copies of records of events or activities.

You can use this section of the form to attach photographs and a record of activities or events.

Funding Acknowledgement and Public Relations

As part of the Grant Contract you commit to acknowledging your Grant and promoting the National Lottery. Give us an overview of the steps you have taken to do this during the delivery of your Project and after its completion. 

Provide an outline of how, where and when you featured the National Lottery logo at your Project and on your website. You must also provide an overview of how you promoted National Lottery funding of your Project in the media e.g. through local press/broadcast coverage, online and through regular social media activity; at Project events and openings.  

We reserve the right to stop making payments and to request repayment of some or all of your Grant if you do not acknowledge your funding.

Evaluation

In your Application we asked you to tell us about how you would evaluate your Project and advised you to create an evaluation plan at the start of your Project. Based on the data you have collected throughout your Project we expect you to provide a report which tells the story of what you have achieved (please note you must provide an Evaluation Report in addition to completing your Completion Report and Final Payment Request form online). For more information refer to the programme guidance that outlines the elements to include and the Evaluation: Good-practice guidance.

Attach your Evaluation Report in this section. 

Submission

If there is any further information you wish to share with us on your Project that is not covered elsewhere then provide this information in the text box in this section. 

If you have not already uploaded the following documents to your form, use the Attach button to do so now.

Use the Attach button to upload the following supporting documents:

  • Certificate of Practical Completion (mandatory for Project that have undertaken capital works);
  • Evaluation Report (mandatory);
  • A record of activities or events that you have arranged (mandatory);
  • Photographic record of your Project (mandatory);
  • List of Digital Outputs and the web address (URL) of the website or websites where they can be accessed (mandatory);
  • Project invoices received during this reporting period (mandatory);
  • Table of costs for amounts of less than £500 (mandatory if applicable). 
  • Recent bank statement or cheque or paying in slip (mandatory if your account details have changed during this reporting period);
  • Proof of any new necessary statutory permissions or licences (mandatory if applicable);
  • Proof of any new partnership funding (mandatory if applicable);
  • Job selection/appointment details (mandatory if applicable);
  • Record of Community Grants awarded (mandatory if applicable).

When submitting supporting documents use appropriate file names. 

When you have completed the form click the Submit button. You can view what you have entered by clicking the Create PDF button. 

We will contact you to confirm when your Project has been completed to our satisfaction and recorded as complete in our systems (Project Completion Date).  

You will continue to be bound by the Grant Contract and for the duration of the contract term (set out in your Grant Notification Letter).

Please note: once you have submitted the form you cannot make any changes to it and it cannot be recalled.

Appendix I: Invoices Submitted with Payment Request Forms

All invoices submitted to us as evidence of spend should be clear, legible, and be for eligible works against the Approved Purposes we have agreed to fund. They must include the following information for us to be able to pay against them. They should be clear enough to read and not folded up, damaged or tampered with.

They must all relate to works agreed to be funded by us and the client named on them should be the organisation submitting the payment. It would be helpful if you presented the invoices in the same order as they are listed on your Payment Request forms, so that we can check the invoices provided against those claimed. 

Invoices must have an invoice number, the date they were raised and the date payment is expected and the payment terms, how payment is made and to whom. They must include company details including, name, address, email address, telephone number, Company number, VAT registration number (if VAT registered). They must also include a description of the services provided, the gross (without VAT), VAT amount if VAT registered and the net (total) amount due.

Example Invoice

Company Name 41 First line of address Second line of address City Postcode Tel: Email: 

Company #:000000 VAT: XX-XXX-XX

Invoice Number: XXX 001  Date: Day Month Year Due Date: Day Month Year To: Organisation Name Detailed description of services

10 days @ £500 per day £5,000 Sub Total £5,000  VAT @ 20% £1,000  TOTAL £6,000 Payment terms: Payment within 30 days.

Pay by [method] to the account below: Company Name (matches top) Sort Code: XX-XX-XX Account No: 12345678

Appendix J: Glossary of Terms 

Additional Grant Conditions – any additional conditions set out in your Grant Notification Letter.

Application – your completed Application form and any documents or information you send us to support your request for a Grant.

Approved Purposes – the Approved Purposes summarise the Project described in your Application.

Funder – the Trustees of the National Heritage Memorial Fund who administer the National Lottery Heritage Fund.

Grant – the amount we have awarded you set out in your Grant Notification Letter.

Grant Contract – made up of the

  • Grant Notification Letter;
  • Standard Terms of Grant;
  • Any Additional Grant Conditions; and 
  • Signed Permission to Start form.

Grant Expiry Date – the date by which you must complete the Project as set out in your Grant Notification Letter. 

Grant Notification Letter – the letter that formally advises you of the award of your Grant.

Grant Percentage – Grant divided by total Project costs – see worked example B.

Open Licence – an open licence grants permission to access, re-use and redistribute a work with few or no restrictions. There are various open licences available but the default open licence required is the Creative Commons Attribution 4.0 International (CC BY 4.0) licence, or equivalent. 

Outcomes – we describe the difference we want to make with our funding through a set of nine Outcomes. Outcomes are changes, impacts or benefits that happen as a direct result of your Project. All of the Projects we fund will achieve one or more of these Outcomes. 

Payment Percentage – Grant divided by Project cash costs – see worked example B.

Programme Application guidance – the document setting out the scope of the programme and how to apply.

Project – the purposes we have approved as set out in the Application (taking account of any changes we and you have agreed in writing up to the date of our decision to award you the Grant and any changes that we tell you about in the Grant Notification Letter). These purposes are sometimes described as Approved Purposes and include you getting and using partnership funding as set out in the Application and how you said you would use the Property (if any).

Project Completion Date – the date of the letter we send you letting you know that the Project is recorded as complete. Note that this will be after the date by which you have completed all work on the Project.

Property – land, buildings, heritage items or intellectual Property which will benefit from your Grant.

We, us, our – means Funder.

You, your – means the Grant Recipient/Grantee