The National Lottery - a Guide for the University - (1) to No 4490

<br /> Oxford University Gazette: Guide to National Lottery<br /> (supplement)

Oxford University Gazette

The National Lottery: a Guide for the University

Supplement (1) to Gazette No. 4490 :
Wednesday, 11 November 1998

To Gazette No.
4491 (12 November 1998)

Gazette Home Page

Contents of the supplement:

The National Lottery has been in operation since late in 1994. It
has achieved such a status in popular consciousness that it is
normally the first thing that comes to mind when the question of
fund-raising is mooted. The income raised by the Lottery was
originally divided between the following five `good causes':

—The Millennium Commission

—The National Heritage Lottery Fund

—The Arts Council (Arts Lottery Fund)

—\The Sports Council (Sports Lottery Fund)

—The National Lottery Charities Board

There is now a sixth distributor, NESTA—the National Endowment
for Science, Technology, and the Arts. This is not yet in

This guide has been written to help members of the University who may
be considering making an application for Lottery funding.

Eligibility Criteria

In general only capital projects will be funded by the five Lottery
distributors. There are very few circumstances, under current
regulations, where consideration will be given to providing revenue
costs such as salaries or the endowment funds. All applications must
include a business plan which looks at the long-term future for that
particular project.

The rules also state that `Projects are ineligible if they have
started prior to the submission of an application and a decision of
an award being notified. A project start is either the placing of a
contract or a start on site. A retrospective application for funding
will not succeed.' This has quite important implications for some
projects. An urgent restoration cannot be put off to suit the
timetable of the NHLF, but must be carried out while there is still
something left worth restoring. The Lottery cannot, therefore, be
relied upon to provide funding for the most urgent projects.

Individuals cannot apply for Lottery funds except in the case of
Millennium Commission bursaries and NESTA projects. Details of these
will be obtained by the University Development Office as soon as they
are announced.

Applications must demonstrate that they fit within some wider
strategy in order to secure funding. Projects must show that they
have support both from the University and from outside partners. Any
initiative will stand little chance of success if it appears that it
was created solely to obtain Lottery money just because it is

Each of the Lottery distributors excludes applications which seem
eligible for funding from another source so care must be taken to
select the
most appropriate one when applying.

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The Millennium Commission

The Millennium Commission has now completed its funding of major
capital projects. It has also established a series of Millennium
Bursaries which are administered by partner organisations. These are
designed to allow individuals to take time away from their normal
work to carry out an activity relevant to the aims of the Millennium

The Millennium Festival is the final element of Millennium Funding,
and applications closed at the end of September 1998. This scheme,
administered on behalf of the Commission by the New Millennium
Experience Company (of Greenwich Dome fame) distributed money from
the budgets of the four other original Lottery Distributors for
revenue projects in each of the relevant areas.

The National Heritage Lottery Fund

The National Heritage Lottery Fund seeks to support the preservation
and conservation of items of national significance, especially where
projects promote access to things now normally inaccessible to the
public. The fund has supported several museum projects within

University schemes should demonstrate that they will benefit a far
wider audience than simply the academic users of the institutions.

Applications for capital projects now go through a two-stage process,
with an initial eligibility check for larger projects, and a
simplified procedure for small grants.

In July 1998 the NHLF established its first revenue project, the
Museums and Galleries Access Fund, designed to support those
institutions which are trying to improve access (defined in the
broadest sense) to their collections.

Before contemplating making any application you should telephone the
Fund's Information and Publications team and ask for the relevant
brochures. The numbers are: 0171-591 6041/2/3/4.

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Arts Council Lottery Fund

The Arts Lottery Fund is administered by the Arts Council of England.
Funds are available to support capital projects accessible to the
general public in any of the Arts. Applications which are likely to
be successful will have been able to show that there is local demand,
that they do not duplicate existing local provision, that they
include recognition of the needs of disabled people, and that the
project fits
within a wider arts strategy either within the University, or the
local area.

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Sports Council Lottery Fund

Again, grants are available almost exclusively for capital projects
which will benefit the community in some way. The Fund will not
support projects which are led by the Sports Council itself. There
should be a clear indication of the local or national need which will
be met by the project. It should fit within local or national
strategies for sports development. The widest possible access to the
general public should be available, and the long-term viability of
the project demonstrated. The stringent community access criteria
mean that any project funded by the Fund is unlikely to meet the
needs of university sports players.

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National Lottery Charities Board

The National Lottery Charities Board provides funding for
non-statutory organisations only. This means that
Universities, despite their charitable status, are specifically
excluded from eligibility for funding. University research teams have
to apply in partnership with a sponsoring Charity if they have a
capital or research project which seems to meet the criteria for that
funding theme. New funding themes are announced periodically, with
variable durations, and these are likely to move slowly over the
whole range of charitable endeavour. The NLCB should be contacted for
details of the current grant programme. They are available on 0345

This is the only distributor that does not impose a matching funds

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NESTA's purpose is to support and promote talent, innovation, and
creativity in the fields of science, technology, and the arts. Unlike
other grant-giving bodies, NESTA's primary activity will be the
support of individuals, rather than organisations, existing
businesses, or projects.

They intend to launch support schemes in spring of 1999, and it will
be some while before NESTA is in a position to make financial
commitments as it has yet to build income from its £200m
endowment. In addition to this, it is still establishing its
financial and administrative systems. It does not yet have a
permanent office or full staffing and its Trustees, chaired by Lord
Puttnam, still have to consider how support should best be

Details of this programme will be circulated when they become

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Partnership or Matching Funding

Before grants are paid out by the Lottery distributors they must be
satisfied that matching funds have not only been identified, but are
in place. It will be usual practice for Lottery distributors to fund
only a percentage of a project. This portion could be as much as 90
per cent in some special cases, but may often be only 50 per cent or
less. The distributor will want to see evidence that all funding
avenues have been explored, and that the Lottery is being invited to
fund the remaining gap. It is essential that a project has done more
to identify potential sources of matching funding than simply having
noted their names from a directory.

Some input (this can be `in kind') by the University must
normally be in evidence. Such matching funding or support should not
include existing provision, but should relate to the increased
activity which would result from Lottery support. In other words, it
is unlikely that a Lottery distributor will be impressed by an
application which includes an existing salary as the University's
matching contribution. If, however, the new activity will result in a
change to that member of staff's work, or some kind of increase in
activity, a proportion of this salary may be eligible as matching

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Making an Application

When preparing a proposal for Lottery funding it is advisable to talk
to staff in the University Development Office. The Director, or a
specialist member of staff, will be pleased to discuss projects at an
early stage. The Director may also be able to discuss outline
proposals with the relevant Lottery authorities on your behalf.
University Development Office expertise is also available to any
college which is considering making an application.

Any request for Lottery funding must be submitted for consideration
by the University in the same way as any other request for additional
resources. Applications will be reviewed in the first instance by the
University's Development Programme Management Group. The Group is
required to seek the approval of the General Board and Hebdomadal
Council through the Resources Committee, which is responsible for
considering the effects on the University's financial, staff, and
physical resources. This may also include the issue of sites for
major applications. It is important to ensure that issues such as
duplication of approach and relevance of the project to wider
strategic goals of the University are addressed as early as

Potential applicants should consult the secretary of the Resources
Committee, Mr P.W. Jones, Deputy Registrar (Administration), on
procedures and the expected timetable for consideration of the
application by the Committee. Time should be allowed for this in the
project's own application timetable.

Any project submitted to the Resources Committee should include a
copy of
the application form and a covering paper which provides a schedule
of capital and recurrent costs. Proposed sources of partnership
funding, space requirements, and any site implications should also

It is important to note that where there are several applications
likely to be made in the name of the University there could be
competition for resources. Therefore applicants must let
the Secretary of the Resources Committee know about their proposals
as early as possible so that bids can be considered as a group,
rather than on a first-come, first-served basis. The Lottery
Distributors have also indicated that simultaneous multiple
approaches from different parts of the University are more likely to
fail. It is not for these bodies to select the University's
development priorities.

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Further Information

Further information may be obtained from:

Dr Jill Pellew, Director, the University Development Office,
University Offices, Wellington Square (telephone: (2)70222, fax:
(2)70225, e-mail:

Paul Dryden, Development Executive, University Development Office,
Oxenford House (telephone: (2)78463, fax: (2)78466, e-mail:

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