Polden-Puckham Charitable Foundation

PPCF Handbook Last Edit 5 April 2018 10:13 Printed 8/6/11 15:51

Governance and Procedures Handbook April 2013 with subsequent edits

Confidential

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CONTENTS

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INTRODUCTION

Although there is no legal requirement for charities to adopt good governance policies it is encouraged by the Charity Commission and is a matter which will be considered by the Charity Commission should they conduct one of their review visits on the Charity.

This document was based on a draft provided by Russell-Cooke Solicitors, with additions approved by the Trustees. The document covers all working practices of the trust, to ensure clarity and transparency. It is intended that this should be a dynamic document, that should be updated at regular intervals, to ensure that the most efficient and effective working practices are followed, to suit the working practices of the current trustees.

Harriet Gillett Chair, Polden-Puckham Charitable Foundation October 2008

TRUSTEES & SECRETARY

Angela Seay 41a Defoe Avenue Richmond TW9 4DS M. 07590 212687 [email protected] Jointed as a Trustee April 2013 First 5 year term expires April 2018 (gluten OK, omnivore??) Bevis Gillett (Vice-Chair and acting-Chair) 41 Beauchamp Rd Bristol, Bishopston, BS7 8LQ H. (01179) 400324 [email protected] Joined as Trustee Nov 04 (Secretary from 1991 to Apr 03) First 5 year term expires Apr 2014 (omnivore but happy veggie) Harriet Gillett (Chair) 32 Storey’s Way Cambridge CB3 ODT H. (01223) 322604 W. (01223) 814650 M. 07759 226713 [email protected] Joined as trustee 8th May 1991 5 year term expires Apr 2014 (gluten free veggie – check on papers needed)) Jonathan Gillett 47 Scarcroft Hill York YO24 1DF H. 01904 623912 [email protected] Jointed as a Trustee April 2013 First 5 year term expires April 2018 (prefers fruit or raw veg - carrot/celery - avoid sandwiches) Val Ferguson 29 Cunliffe Close Oxford, OX2 7BJ [email protected] H. (01865) 515568 M. 07779 075593 Joined as trustee Nov 06 First 5 year term expires Apr 2014 (only paper applications needed)

Bryn Higgs (non-trustee executive secretary). (work) BM PPCF London WC1N 3XX W. 020 7193 7364 [email protected]

(home) 11a Canon Frome Court Canon Frome, near Ledbury Herefordshire, HR8 2TD H. (01531) 670729

M. 07958 464373 [email protected] Joined as Secretary Dec 07 Exec Sec from Dec 08 (omnivore but happy veggie)

Note on food: When ordering food from April ’09 order all veggie, and no mayo on sandwiches. RG is straight veggie.

MISSION STATEMENT 'PPCF aims to contribute to the development of a just society based on a commitment to nonviolence and environmental sustainability.'

GOVERNANCE POLICIES Section updated: Nov 2009 1 Voting system

A two tier voting system operates with regards to changes to the governance polices: 1 All trustees minus one 2 Simple majority. Items 2 “Number of Trustees” and 6 “Term of office of trustees” of the Governance Policies below are subject to the voting arrangement ‘all trustees minus one’.

2 Number of trustees

The trust deed states that a total of ten trustees can be appointed (section 12d). However, in normal circumstances, the ideal will be eight, with occasional variance to seven or nine trustees depending on the situation facing existing trustees at the time.

3 Composition of trustees (under review Winter 08/09)

The majority of the trustees will normally be members of the founding families. In order to fulfil C&J Clarks requirements there should be three trustees at any one time eligible to own C&J Clarks shares in their own right.

4 Quaker background

Trustees need not be members of the Religious Society of Friends but all should have a good understanding of, and sympathy for, Quaker principles.

5 Age limits

Trustees must be at least 18 years of age. There will be no retirement age.

6 Term of office of trustees (under review Winter 08/09)

All Trustee positions will be reviewed after 5 years. All may be re-elected for a further 3 year period, plus a further 2 years if circumstances require continuity. Decision making on this issue is according to our usual decision making process as described in these Governance Policies. Any Trustee may be removed without notice period by unanimous decision of the other trustees if there has been a breach of trust or other serious misdemeanour. All trustees can give notice to resign at any time. It is helpful if at least 1 year’s notice can be given.

7 Information provided by trustees

All prospective trustees will be required to write one side of A4 indicating why they want to join PPCF and what skills and experience they bring to the trust.

8 Trustee interests register

All prospective and existing trustees and the secretary must provide details of relevant organisations that they, or a close member of their family, are involved with to avoid a conflict of interest. Relevant involvement would include employment directly or on contract, engaged as a trustee or member of a management committee, or having any other financial interest in or ongoing personal engagement with the organisation in question. The relevant trustee(s) must leave the room during any discussion where there is a possible conflict of interest. Interests will be notified to the Secretary (or the Chair in the case of the Secretary) by email and inserted into the ‘Trustees and Secretary’ page of this Handbook.

9 Probationary period

Prospective trustees will attend two meetings of the trust as observers. The minutes of the second meeting will record the decision of trustees whether to appoint the prospective trustee. All new trustees are to be given an up-to-date electronic and paper copy of this Handbook (latest edition), including the induction pack .

10 Selection / Recruitment of trustees

Trustees agreed to take account of procedures followed by other trusts.

11 Decision making at trust meetings The deed document allows for a simple majority however decisions will normally be taken without a vote, the process being informed by Quaker practice.

12 Chair

The Chair is elected for 3 years. Where necessary a vice-chair may also be appointed.

13 Trust Meetings

Current practice is to hold six meetings annually, comprising two full trustees’ meetings, each preceded by a short-listing meeting, and two interim meetings. Trustees’ Meetings are normally in April and October/November, the date being fixed a year in advance, and are attended by all trustees in normal circumstances. Short-listing meetings are attended by 1-2 trustees, while interim meetings, which are a useful means of improving dialogue amongst trustees, are attended by a selection of trustees depending on meeting content and trustee availability. Consideration should be given to holding these outside London. The Secretary should be present at each of these meetings.

14 PPCF Committees

A Finance Committee exists, to oversee the financial aspects of the Trust’s administration. In particular it deals with our investments and investment policy, and matters relating to managing the capital and income of the trust. The Finance Committee comprises at least two Trustees, plus the Secretary, as agreed in advance at Trustee Meetings.

15 Handbook

The agreed policies and procedures will be contained in the Governance and Procedures Handbook, which will be the definitive document for these matters. It shall be maintained as a live document with changes approved at successive trust meetings. This system should be maintained unless the Secretary and Chair agree to propose a change to a Trustees' Meeting.

16 Changes to the Handbook

Well in advance of a Trustees’ Meeting, Trustees will be presented with the latest version of the Handbook on paper. This will include proposed changes to the previous version clearly highlighted. Trustees are asked to read the proposed changes prior to the meeting, and bring any questions, requested amendments, or objections to these changes to the meeting (or discuss them with the secretary prior to the meeting).

At the Trustees’ meeting the agreed new version of the Handbook will be finalised. Absence of discussion or points highlighted will be taken as agreement. The new version of the Handbook will come into force at the end of the meeting and all changes then become part of the main text of the Handbook (un-highlighted).

The new version of the Handbook will be placed on the web site for Trustees to refer to. This will be updated periodically with any new changes, highlighted as before.

BIENNIAL BOARD REVIEW

One of the roles of the Board of Trustees is to evaluate its own performance. This may be a useful exercise to carry out on an biennial basis. Is the Board doing what it can to assess the effectiveness of its grant giving, and ensure that this is maximised? Is the Board concentrating on governance, setting strategic policy and direction, or getting drawn into the minutiae of day-to-day management decisions? How is it ensuring that the Charity complies with all the relevant legislation and regulations? Does it get the information it requires in the most useful format?

The purpose of the exercise is not to criticise individual Board members or to allocate blame, but to identify areas of weakness so the Board can improve its performance, particularly in relation to supporting effective

Confidential Page 8 of 85 Date 05/04/2018 PPCF Handbook Last Edit 5 April 2018 10:13 Printed 8/6/11 15:51 work. The exercise below can be used as a starting point for evaluating the effectiveness of the Board.

BOARD ASSESSMENT EXERCISE Re-ordered Spring 2010 Four key questions need to be covered in this exercise:

1. Are we effective and strategic in our grant-giving? 2. Are we managing funds and grants effectively and ethically? 3. Are we acting as a good employer? 4. Are we operating in accordance with legal requirements?

Read each responsibility carefully and write down how you think your Board as a whole performs using the following scores: 1 very satisfied; 2 satisfied; 3 somewhat dissatisfied; 4 very dissatisfied; 5 unsure/do not know.

How satisfied are you that:

Membership and Trustees 5. The Board currently contains a sufficient range of expertise to make it an effective governing body? 6. All Board members are familiar with the current policies. 7. The Board is knowledgeable about the Charity's current activities and services? 8. Succession planning is undertaken and that successors are identified? 9. The induction of new trustees is effectively complied with? 10. Trustee development and education is effective? 11. Any conflicts of interest or disputes arisen at Board level have not damaged its performance?

Process 12. The respective roles of the Board and any staff are clearly defined and understood? 13. The Board conducts its meetings efficiently, with all the Board members attending and making an active and positive contribution? 14. Is there sufficient time in the meetings to make decisions.

Oversight 15. The Board discusses thoroughly the annual budget before approving it? 16. A risk assessment is undertaken. 17. The results of risk review, legal audit and financial audit are considered? 18. All key dates for achievement in the annual cycle e.g. approval of budget, etc. are achieved? 19. Has the Charity kept up with current legislation as regards to Employment Law and employee procedures such as grievance

Strategy 20. The Board focuses much of its attention on long-term significant policy issues rather than on short-term administrative matters? 21. There is a review of progress towards targets in strategic or business plan? 22. There been sufficient focus on future developments in the field or the environment in which the Charity operates?

Total the scores produced by each member of the Board, then develop an action plan to improve the Board's performance on the areas with the highest scores.

RISK ASSESSMENT Updated Spring 2010 Agreed April 2013

This risk assessment will be reviewed annually at Spring Trustees’ Meetings. Trustees are invited to propose amendments to the Secretary up to two weeks prior to that meeting.

Key: Likelihood and potential impact H = high M= medium L- low

RISK FACTOR CONTROLS LIKELY? IMPACT ACTION FOR ‘13

Governance and Compliance Breach of Charity Secretary and L H None legislation (reporting) Accountant to work together to adhere to reporting requirements. Chair to oversee. Trustee meeting reporting.

Breach of Charity Trustees to ensure L H Trustees to stay legislation (grant they are familiar abreast of changes giving) with the limits of in charity charity giving. legislation. Unauthorised or L H Discussion of use of improper decisions conduits and direct taken by Trustees grants. Breach of Use of lawyer when L L employment needed to check legislation policies. Breach of copyright L L Breach of data We do not share our L M Secretary protection act data. Dropbox and monitoring our database compliance. information sharing secure and compliant. Personnel Staff recruitment and Good management L M retention practice Stress related illness L L Gross misconduct by Adequate oversight. L H staff Disciplinary procedure.

Trustee recruitment Positive and M L Continuing and retention supportive management of environment change now taking amongst trustees. place. Active monitoring.

Gross misconduct by L H Trustee

Financial

Decline in income M M

Collapse in income L H

Poor adherence to L M charity law by conduit Collapse of our bank L H Fraud by our L H FSA regulation. investment manager

Fraud or error within L H Clear systems of PPCF recording and communications. Transparency. Independent audit. Excessive costs Oversight by L L Trustees and Auditor

Loss or deterioration Loss of computer L L Data backed up of fixed assets possible, but data is and database backed up. stored in office and on Dropbox. Inability to meet Get-out clause in L M financial grant terms and commitments conditions makes our inability to meet our financial obligations less of a risk.

Operational Health and safety L L risks IT systems Data backup. L H Backup of key data to web site and chair. Antivirus up to date. Fire Smoke alarms fitted. L H

TRUSTEES

TRUSTEE DECLARATION Section updated: March 2007

I declare that:

I am over age 18.

I am not an undischarged bankrupt.

I have not previously been removed from trusteeship of a charity by a Court or the Charity Commissioners.

I am not under a disqualification order under the Company Directors’ Disqualification Act 1986.

I am, in the light of the above, not disqualified by the Charities Act 1993 (Section 72) from acting as a charity trustee.

I undertake to fulfil my responsibilities and duties as a trustee of the Charity in good faith and in accordance with the law and within the Charity’s objectives and mission.

I do not have any financial interests in conflict with those of the Charity (either in person or through family or business connections) except those which I have formally notified in a conflict of interest statement. I will specifically notify any such interest at any meeting where trustees are required to make a decision which affects my personal interests, and I will absent myself entirely from any decision on the matter and not vote on it. I will notify the Charity of any relevant changes to my interests.

Address:

Signed: [by trustee] Date:

TRUSTEE LETTER OF APPOINTMENT TO PPCF Section updated: March 2007

Welcome to Polden-Puckham Charitable Foundation

Thank you for your interest in becoming a trustee of the Charity. We are very grateful for the unique contribution trustees make to the Charity.

This letter outlines our mutual hopes in relation to the services that you are going to provide on a voluntary basis. We do not intend to create any legal relation in respect of your volunteering.

Trustees are very important to the Charity, so it is useful to set out some key points to help make the most of your trusteeship.

Being a Trustee at the Charity

As you are aware you have been invited to be a member of the Board of Trustees of Polden-Puckham Charitable Foundation. The enclosed Form of Consent asks you to confirm that you are willing and eligible to serve if appointed. Please could you sign and date the Trustee Declaration and send it to The Secretary, Polden-Puckham Charitable Foundation, BM PPCF, London WC1N 3XX.

We have also enclosed an induction pack for you to familiarise yourself with:

Confidentiality

Board papers are the property of the Board of Trustees. It is the responsibility of the Trustees collectively, not of any individual, to decide whether or not they should be made available to a wider audience. Where papers are marked “Confidential” this must be adhered to. Please let the Chair know if you think there has been a breach of confidentiality.

Support and Training

Trustees must carry out their duties as set out in the Trustee Job Description. We hope to provide you with sufficient support and training to enable you to make the most of your trusteeship. If you feel you need more support, please let us know.

Relationships with Colleagues

The other Trustees and the Secretary of the Charity are part of your support network. You will learn more and enjoy being a Trustee more by building relationships with your fellow Trustees. With this in mind, we hope you will

Confidential Page 15 of 85 Date 05/04/2018 PPCF Handbook Last Edit 5 April 2018 10:13 Edit Number 27 Printed 8/6/11 15:51 attend as many visits, talks and seminars as possible. This will allow you to keep in touch, share experiences, participate in the development of the Charity and raise any issues of concern. It will help us to plan our Board meetings and fulfil our commitments if you could let us know as soon as you can if you are going to be away e.g. for holidays, hospital visits or family matters.

Expenses

We will reimburse actual expenses from your trusteeship so you will not be out of pocket. Please use the most sustainable form of transport. In some cases we may need receipts for our records. Expenses will be paid for travel between home and the Charity and any other travelling done during the course of your trusteeship e.g. visits, talks, seminars and trustee meetings.

If you are clear about what is involved in being a Trustee and are happy to start, please sign the bottom of this letter to show that you have received and read this. If you have any questions at all, please ask me

We look forward to you joining us and hope you enjoy being a Trustee at the Polden-Puckham Charitable Foundation.

Yours sincerely

Chair PPCF

Name of Trustee:

Signature of Trustee:

Encl: Induction pack as listed in the Contents page.

TRUSTEE JOB DESCRIPTION

Job Title: Trustee: Polden-Puckham Charitable Foundation

The duties of a trustee are:

1. To ensure that the Charity complies with the trust deed and governance document, charity law, company law and any other relevant legislation or regulations; 2. To understand and accept the legal duties, responsibilities and liabilities of trusteeship; 3. To ensure that the Charity pursues its objects as defined in its governing document and its governance and procedures handbook; 4. To ensure the Charity applies its resources exclusively in pursuance of its objects i.e. the Charity must not spend money on activities which are not included in its own objects, no matter how worthwhile or charitable those activities are; 5. To contribute actively to the Board of Trustees' role in giving firm strategic direction to the Charity, setting overall policy, defining goals and setting targets and evaluating performance against agreed targets; 6. To safeguard the good name and ethos of the Charity; 7. To ensure the effective and efficient administration of the Charity; 8. To ensure the financial stability of the Charity; 9. To protect and manage the property of the Charity and to ensure the proper investment of the Charity's funds; 10. In addition to the above, each trustee should use any specific skills, knowledge or experience they have to help the Board of Trustees reach sound decisions. This may involve scrutinising Board papers, leading discussions, focusing on key issues, providing advice and guidance on new initiatives, or any other issues in which the trustee has specific expertise.

TRUSTEE PERSON SPECIFICATION

Each trustee should:

1. have a commitment to the aims of Polden-Puckham Charitable Foundation; 2. have a Quaker background: 'Trustees need not be members of the Religious Society of Friends but all should have a good understanding of, and sympathy for, Quaker principles; 3. have a willingness to devote the necessary time and effort; Interest in accumulating knowledge about PPCF areas of interest; 4. have strategic vision; 5. have good, independent judgement; 6. have an ability to think creatively; 7. be willing to speak their mind; 8. be able to work effectively as a member of a team; 9. be a good listener; 10. have good communication skills 11. adhere to the Nolan's seven principles of public office: selflessness, integrity, objectivity, accountability, openness, honesty and leadership, (see below).

Nolan’s Seven Principles of Public Life

In 1994, the Committee on Standards in Public Life (the Nolan Committee) examined concerns about standards of conduct of all holders of public office. In its first report the committee set out Seven Principles of Public Life, which it believes should apply to all who serve the public in any way and to all aspects of public life.

The principles are as follows:

1. Selflessness: Holders of public office should take decisions solely in terms of the public interest. They should not do so in order to gain financial or other material benefits for themselves, their family, or their friends. 2. Integrity: Holders of public office should not place themselves under any financial or other obligation to outside individuals or organisations that might influence them in the performance of their official duties. 3. Objectivity: In carrying out public business, including making public appointments, awarding contracts, or recommending individuals for rewards and benefits, holders of public office should make choices on merit. 4. Accountability: Holders of public office are accountable for their decisions and actions to the public and must submit themselves to whatever scrutiny is appropriate to their office. 5. Openness: Holders of public office should be as open as possible about all the decisions and actions that they take. They should give reasons for their decisions and restrict information only when the wider public interest clearly demands. 6. Honesty: Holders of public office have a duty to declare any private interests relating to their public duties and to take steps to resolve any conflicts arising in a way that protects the public interest. 7. Leadership: Holders of public office should promote and support these principles by leadership and example.

GENERAL NOTES FOR TRUSTEE SKILLS Updated April 2012 Other desirable characteristics (list taken from trustees meeting April 2012)

1. Knowledge or experience about peace NGOs 2. Knowledge or experience about NGOs linked to environmental sustainability 3. Knowledge of Quakerism and its practice, and knowledge of Quaker projects in Britain & Europe 4. Knowledge or experience of dealing with ethical investment 5. Knowledge of the NGO sector 6. Knowledge of policy & charity governance 7. Knowledge of grant-making sector including relevant Trusts and Foundations 8. Legal knowledge concerning Charity Law 9. IT knowledge 10.Financial acumen 11.Familiarity with C&J Clarks 12.Good committee skills 13.Chairing skills or experience 14.Assessment and Evaluation skills 15.Ability to read accounts 16.Management/organisational experience Confidential Page 18 of 85 Date 05/04/2018 PPCF Handbook Last Edit 5 April 2018 10:13 Printed 8/6/11 15:51

17.Campaigning experience 18.Fund-raising experience 19.Networking experience in the NGO sector in the fields in which PPCF operates 20.Midweek time for seminars/conferences/ meetings/visits to Grantees 21.Time for reading books, reports, etc. relevant to PPCF’s activities

TRUSTEE OPERATIONAL PROCEDURES Updated October 2008

Meetings

Trustees are asked to make every effort to attend the trust meetings.

Expenses

Expenses incurred by trustees will be reimbursed by the Secretary. The Secretary will provide an expenses claim form to each trustee at each trust meeting. Please retain receipts and submit them as soon as possible.

Communication via PPCF Website

Trustees are encouraged to use the PPCF website to keep up-to-date with activities/documents. Trustees are encouraged to contact the Secretary directly, requesting additional documents to be posted on the web/establishment of links to other sites.

Communication with Secretary

The Secretary’s working hours are posted on the PPCF website regularly. Trustees can contact him by email or phone (details provided on page 2).

Identification of new organisations to fund

Trustees are encouraged to be proactive in identifying new organisations for PPCF to fund. Basic information about such organisations should be provided to all Trustees and the Secretary and a follow-up procedure agreed at or, if appropriate, between meetings.

TRUSTEES RECRUITMENT POLICY Agreed Autumn 2009 Appointing new trustees is one of the most important and sensitive aspect of running the trust. Every two years (next in autumn 2011) Trustees will review whose term is coming to an end in the following two year period, and whether they are eligible for re-election. There is a need to ensure that too many trustees are not retiring at the same time. If vacancies are likely to arise, Trustees will set up a recruitment process to find more Trustees. Interim meetings may be used to consider these issues. A small nominations committee should be established to carry out the following tasks:

1. look at what mixture of skills and other qualities PPCF needs now and in the future and update the Notes for Trustee Skills above. 2. carry out a skills and time commitment audit on the existing trustees and identify any gaps or challenges. 3. update the existing trustee job/task description (including time allocation) and the person specification (see Handbook sections above). 4. if new family Trustees are needed, current family Trustees will be asked to talk to other family members to see if there is interest. Confidential Page 20 of 85 Date 05/04/2018 PPCF Handbook Last Edit 5 April 2018 10:13 Printed 8/6/11 15:51

5. if non-family Trustees are needed, all Trustees will be asked to seek out suitable people who have some knowledge of the areas of work funded by the Trust. 6. draw up a short list of potential new trustees. 7. prospective trustees not previously known to all would be invited to a Trust Meeting to enable all Trustees to meet with them. The Trustee would be required to provide some background information about the person they have invited. 8. examine any potential conflicts of interest and deal with these according to the Governance Policies ‘Trustee Interests Register’ section of this Handbook. 9. following discussion, Trustees would invite anyone they felt suitable (family or non-family) to take part in the grant giving part of a Trustees’ Meeting. 10.further discussion by Trustees would subsequently lead to suitable people being invited to join as a Prospective Trustee for a six month period, including a Trustees’ Meeting and any other relevant meetings during that time, and provided with the Trustee Induction material (see below). 11.prospective Trustees could be confirmed as full trustees following this period in writing, indicating the commencement and expiry dates of their term.

Resources to assist in the process can be found at http://www.trusteefinder.org.uk and http://www.reach-online.org.uk.

TRUSTEE INDUCTION PACK Updated July 2009

1. Notes to the Induction Pack (these are available from the web site). 2. The Trust Deed (available from the web site). 3. The Governance and Procedures Handbook (this document, available from the web site). 4. Summary of Rathbones and their investment policy (available on paper from the Secretary). 5. Interview with former PPCF trustee, Anthony Wilson, is available from the web site. 6. PPCF Policy Review: November 2004 Trustee Meeting (available from the web site). 7. “Money is not all – the other way that PPCF can help organisations” by David Gillett (available from the web site). 8. PPCF review/brochure 1990-2000 (available in printed form from the Secretary). 9. A copy of the Charity Commission’s “the Essential Trustee - What you need to know” is available from the web site or can be downloaded at: 10. http://www.charity-commission.gov.uk/library/publications/pdfs/cc3text.pdf 11. The booklet Charity and Creativity is recommended reading and is available from the Secretary or can be purchased on Amazon (please reclaim the cost from the Secretary) 12. A list of references as a reading list is given on the web site. This is updated from time to time. 13. Most recent set of accounts, which can be downloaded from the web site or at: 14. http://www.polden-puckham.org.uk/index.php? option=com_content&task=view&id=33&Itemid=41

Acting trustees: Please refer to the ‘Handbook and Induction’ web page our web site if you do not have one of these documents, and if necessary contact the Secretary.

CHAIR AND VICE-CHAIR Agreed Oct 2008

SELECTION OF THE CHAIR 1. The chair will be elected from amongst the existing trustees every three years at the Trustee Meeting prior to their commencement in post. 2. Candidates for election will be nominated by another trustee at least one month prior to the Trustee Meeting at which the election will take place. 3. Any Trustee may nominate another Trustee, but Trustees may not nominate themselves. 4. To nominate a Trustee the Nominations Committee (consisting of two trustees not willing to be put forward themselves) must be informed at least one month before the meeting at which the new Chair is to be elected. The Secretary should also be informed at this stage, and inform the other trustees. The Nominations Committee will bring the name or names to the next Trustees Meeting. 5. Trustees will have one vote each in these elections and the decision will be by the process indicated in our Governance Policies (currently P4, item 11). 6. The new Chair will commence in post at the start of the subsequent Trustee Meeting.

CHAIR JOB DESCRIPTION

Job Title: Chair

The role of the Chair in addition to the named duties of Trustees is:

1. To take a lead role in ensuring that the Charity complies with its governing document and charity law and best practice and that the performance of the Board of Trustees is reviewed on an annual basis; 2. Understanding and acceptance of the legal duties, responsibilities and liabilities of trusteeship; 3. To ensure that the Charity pursues its objects and that it applies its resources exclusively in pursuance of the objects; 4. To ensure that the Charity is run in accordance with decisions of the Board of Trustees; 5. To lead the Board of Trustees and to develop strategic plans for the Charity and to fulfil their responsibilities, to set overall policy, define goals and set targets and evaluate performance against agreed targets; 6. To bring impartiality and objectivity to decision-making; 7. To communicate with the trust secretary and oversee planning and setting of Board meetings; 8. To plan the annual cycle of Board meetings and to set agendas for Board meetings; 9. To take the chair at meetings of the Board of Trustees, at general meetings and at any other meeting if required such as disciplinary and appointment meetings; 10. To take a lead role of representing the Charity for example at functions, meetings and with the media by acting as spokesperson as appropriate 11. To take authorised action between meetings of the Board of Trustees and monitor that decisions taken at meetings are implemented.

CHAIR’S HANDOVER PROCEDURE Agreed Autumn 2009

Trustees should discuss the recruitment of a new Chair a year before the end of the 3-year term. Nominations should then be sent to the Chair and the new Chair agreed 6 months prior to transition.

After the appointment of the new Chair it is recommended that the Secretary and Chair copy the incoming Chair in to all relevant correspondence for a 3-6 month period prior to the new Chair taking over, as this eases the transition.

There will need to be a briefing meeting at which the outgoing Chair can induct the incoming Chair and hand over essential information. The Secretary may or may not be present at all or part of this meeting.

The incoming Chair will need to have an initial meeting with Secretary that may be held with or without the outgoing Chair. Where appropriate this might be held at the relevant Interim Meeting.

Agreement on any changes in modus operandi between the incoming Chair and Secretary need to be agreed between themselves in most instances. There may be an additional need to consult with Trustees over significant changes, or bring relevant a proposal to a Meeting if the changes are substantial.

VICE-CHAIR JOB DESCRIPTION

Job Title: Vice-Chair

The role of the vice Chair is to support the Chair, at his/her request, in undertaking their duties as Chair, which are:

1. To take a lead role in ensuring that the Charity complies with its governing document and charity law and best practice and that the performance of the Board of Trustees is reviewed on an annual basis; 2. Understanding and acceptance of the legal duties, responsibilities and liabilities of trusteeship; 3. To ensure that the Charity pursues its objects and that it applies its resources exclusively in pursuance of the objects; 4. To ensure that the Charity is run in accordance with decisions of the Board of Trustees; 5. To lead the Board of Trustees and to develop strategic plans for the Charity and to fulfil their responsibilities, to set overall policy, define goals and set targets and evaluate performance against agreed targets; 6. To bring impartiality and objectivity to decision-making; 7. To communicate with the trust secretary and oversee planning and setting of Board meetings; 8. To plan the annual cycle of Board meetings and to set agendas for Board meetings; 9. To take the chair at meetings of the Board of Trustees, at general meetings and at any other meeting if required such as disciplinary and appointment meetings; 10. To take a lead role of representing the Charity for example at functions, meetings and with the media by acting as spokesperson as appropriate 11. To take authorised action between meetings of the Board of Trustees and monitor that decisions taken at meetings are implemented.

SECRETARY

SECRETARY’S JOB DESCRIPTION (TEMPLATE) Agreed April 2012

Role: Secretary to Polden Puckham Charitable Foundation

Responsible to: The Chair, on behalf of the trustees

Principal purpose: To manage the Foundation’s grant application, grant making and reporting procedures and associated administration. The Secretary is the sole employee of the Foundation. In conjunction with the trustees, to keep the Foundation focussed on its major areas of activity and awareness of new issues within them.

Key tasks:

1. To receive, review and process grant applications against agreed criteria 2. To organise Foundation meetings and prepare reports and papers for these meetings 3. To manage bank accounts and disburse grants using our electronic systems 4. To meet and enter into dialogue with potential and current recipient organisations 5. To network with others in the field and keep abreast of relevant issues and contacts 6. To liaise with the Foundation’s accountant to prepare the annual accounts 7. To assist the Trustees and the Chair in the preparation of the annual report 8. To maintain and review and develop appropriate information management and support systems, including database and web site management and maintenance, network management and maintenance, upkeep of all electronic records, and other IT related tasks 9. To manage any administrative support if necessary 10. To support the Trustees and the Chair in any other administrative tasks as required

Key figures: In 2006-7, about 40 grants averaging £7,000 were made. Requests are usually between £2,000 and £10,000 per year for 1 to 3 years.

Other information: Two Trustee meetings, two interim meetings, and two short-listing meetings are held annually.

Remuneration: Salary, unless otherwise agreed, will be £29,000 p.a. (as awarded in 2007) pro rata for 4 days per week. 25 days annual leave pro rata; 8% pension contribution.

SECRETARY’S OPERATIONAL PROCEDURES Updated Jan 2010

Annual work plan

The Secretary will develop, and post on the PPCF website, a yearly work plan, based on the two trustee meetings, providing a framework for all activities to be undertaken during the year.

Weekly schedule and time sheet

The Secretary is contracted to work 4/5 time. The Secretary will update a weekly work chart, indicating days to be worked the following week, to facilitate communication with the Chair and trustees. It is important that the Secretary and Chair are prepared and able to work flexible hours to allow for phone discussions on a regular basis.

Meetings

The Secretary will attend trustee meetings as a matter of top priority. The Secretary will attend other meetings and visit grant applicants, following agreement with the Chair.

Communication

The Secretary will ensure good communication with the Chair, trustees and grant applicants, via appropriate methods, including making full use of the PPCF website. The Secretary is encouraged to give as much advanced warning as possible of intended resignation.

PPCF email addresses

PPCF email addresses is [email protected] The Secretary will ensure the Chair is informed of the current password.

Appraisal

An annual appraisal of the Secretary’s work will be undertaken, to ensure clarity over the role. Any problems in relation to the Secretary’s role should be raised immediately with the Chair, who will inform the Secretary of the issue. The Chair will in the course of the appraisal seek the view of the Trustees, and use these to provide feedback to the Secretary. In the past appraisal systems have not necessarily picked up emerging problems with administration as quickly as they might have. The Trustee implementing the annual appraisal of the Secretary should ensure s/he is satisfied with the state of the Grant Database and Handbook as a routine part of the appraisal process. This is reflected in the Annual Appraisal Form template which is at PPCF/Internal Systems/ Secretary/ Appraisals/ PPCF Annual Appraisal Template.doc alias. The completed form will be circulated to the Trustees by the Chair.

Secretary Support Trustee

A trustee will be appointed to act in a support and liaison role, should there at any time be difficulties in the relationship between the Chair and the Secretary. This person will have a responsibility to support the amicable resolution of any difficulties, encouraging informal resolution of any issues that may have arisen if possible.

Grievances - See below for grievance procedure

Discipline - See below for disciplinary procedure

SECRETARY’S TERMS AND CONDITIONS OF EMPLOYMENT As indicated in Bryn’s Contract December 2007, subsequent amendments Nov 2008. It is to be kept up-to-date in this Handbook.

This contract is conditional upon satisfactory references being obtained.

Parties to the contract

Name and address of employer: Polden Puckham Charitable Foundation (PPCF) BM PPCF, London WC1N 3XX

Name and address of employee: Bryn Higgs, 11a Canon Frome Court, Canon Frome, Ledbury, Herefordshire, HR8 2TD

Place of work: Your normal place of work will be 11a Canon Frome Court, Canon Frome, Ledbury, Herefordshire, HR8 2TD. You must have the written agreement of the Chair to change your normal place of work. You will need to travel to meetings, conferences etc. from time to time.

PPCF may move the normal place of work and you may also be required to work at other locations within the UK from time to time.

Your employment commences on 10 December 2007

No employment with a previous employer counts as part of a period of continuous employment.

Job Title: Executive Secretary (In relation to Bryn Higgs as of 10th December 2008).

Reporting to: The Chair

PPCF reserves the right to change this reporting line at any time.

Brief description of duties: To carry out administration of the Polden- Puckham Charitable Foundation as set out in the Job Description dated 1/5/2007. For the avoidance of doubt, your Job Description is non- contractual. You are also required when requested, to undertake any other duties appropriate to the grade and nature of your job.

Normal hours of work Your normal hours of work are 30 hours per week (4 x 7.5 hours= 30 hours). They will normally be spread over four or five days per week Monday to Friday. The hours may vary from week to week. You will be expected to be flexible. Any major variation should be discussed with the Chair. You will be expected to keep a time sheet and to post it to the PPCF on a monthly basis.

You must notify the PPCF in writing on each Monday of the number of hours (if any) worked for any other employer in the previous week. You must tell the PPCF if you work more than 45 hours in any week.

Probationary period There is a probationary period of six months. During the probationary period your employment may be terminated by one week’s notice in writing by either party. You will be confirmed in post subject to satisfactory completion of the probationary period. PPCF reserves the right to extend the probationary period. The disciplinary procedure shall not apply during this period. During the probationary period your performance and suitability for continued employment will be monitored.

Pay £30,250 per annum pro rata (in relation to Bryn Higgs as of 10th December 2008), payable monthly in arrears on or about 24th of each month. Salary will generally be reviewed on an annual basis, although the PPCF is under no obligation to award an increase following a salary review.

Holiday entitlement Your holiday entitlement is 25 working days per each completed calendar year including public holidays pro rata (20 days for a four-day week) meaning that the number of days work expected per year is 183. During your first year of employment, you will accumulate 2.08 days for each full month of employment. The rules in the Working Time Regulations 1998 concerning notification of holidays and refusal of holidays will not apply to your employment. Holiday dates must be agreed in writing with the Chair as early as possible. It is essential that the Secretary attends trustee meetings. Providing the Secretary can provide advance information on annual leave requirements, trust meetings will be arranged to suit these leave requirements.

The leave chart (see Annex 3 for template) should be updated prior to leave being taken and posted on the PPCF website. Holiday of more than twenty consecutive working days will only be approved by the Chair in exceptional circumstances. Unused holiday cannot be carried over from one year to the next.

You are entitled to UK Bank Holidays on a pro-rata basis.

On termination of employment, you are entitled to be paid for any accrued leave not taken and holiday pay will be calculated to the nearest full month worked. If you have already taken leave which has not been worked for, any excess holiday pay will be deducted from the final salary.

On being given or giving notice you will at the PPCF’s discretion either be paid for untaken leave entitlement or may be obliged by the employer to take remaining leave.

Absence from work If you are unable to work for any reason, you must inform the Chair on the first day of absence. You should indicate the reason for your absence and its likely duration

Absence through sickness or injury

You confirm to the PPCF that you are in good health and not suffering from any medical condition, disease, illness (whether physical or mental) or other problem, or that you have previously disclosed the same to the PPCF in writing.

You agree that should you start to suffer from such you will immediately notify the PPCF in writing. Provided that you comply with the notification procedures the PPCF will make such payments as will ensure that you are receiving during periods of bona fide sickness after taking into account all state benefit entitlements in any calendar year a maximum of ten days’ full pay.

During any period of sickness absence [of one month or more] you will only accrue statutory holiday under the Working Time Regulations and not contractual holiday.

You must report sickness as soon as possible to the PPCF on the first day of illness with an indication of likely period of absence unless a doctor certifies a period of sickness.

For any period of sickness lasting three days or more a doctor’s certificate must be produced; for shorter periods a self-certification certificate must be completed and sent to the Chair. The PPCF may require a doctor’s certificate for shorter periods of absence.

Where the PPCF is concerned about your health the PPCF may require you to be medically examined by the PPCF’s doctor and may require you to arrange for your own doctor to provide a full report the cost of these to be met by the PPCF.

It is your responsibility to ensure all state benefits are obtained as such entitlements will be deducted from sick pay.

Deductions The PPCF may deduct from salary or other sums due to you: a) losses or damage sustained by the PPCF or its clients, visitors or other employees, during the course of your employment caused through your act, carelessness, negligence, recklessness or through breach of the PPCF's rules or instructions, or any dishonesty on your part. b) a day's or part day's pay for each day or part day of unauthorised absence. "Unauthorised absence" is failing to turn up for work at the appropriate time unless absence is due to ; i) genuine sickness and this has been notified to the PPCF in accordance with this contract ii) leave for which prior permission has been granted iii) genuine reasons outside the employee's control which are acceptable to the PPCF c) the amount of any accidental overpayment to you. d) the amount of any loan made to you for whatever purpose or the amount

due to the employer under any agreement with you.

The PPCF shall notify the employee in writing of the details of any such deduction and provide the employee with copies of any supporting documents reasonably requested in connection with the deduction.

Family leave Members of staff will be granted family leave including maternity, paternity and parental leave in accordance with the relevant statutory enactment in force for the time being.

Pensions PPCF will make a contribution to an approved pension scheme equal to 8% of your salary. Details of the pension scheme will be provided separately. The PPCF shall be entitled at any time to terminate the scheme or replace the existing scheme as it deems fit.

In April 2002 the Government replaced the State Earnings Related Pension Scheme (SERPS) with a new scheme called the Second State Pension. Unless you contract out via an Appropriate Personal Pension which satisfies Government requirements, to which you do not need to contribute other than by normal National Insurance contributions, you will be contracted into the State Scheme.

Termination of employment If you wish to terminate your employment with PPCF or should PPCF wish to terminate your employment for reasons other than gross misconduct (where dismissal may be without notice), two months’ written notice on either side are requested, after the six-month probationary period. In the ninth year of employment and for each completed year, 1 week’s extra notice is requested up to and including the 12th year and once more than 12 years’ service had been completed, 12 week’s maximum notice are requested by either side.

If you do not give your contractual minimum one month notice of termination the PPCF may deduct from your final salary the cost of replacing you during that period.

The PPCF reserves the right to make a payment in lieu of notice should it so wish. Any payment in lieu of notice will be an amount equal to your salary less the amount equal to income tax and National Insurance normally deductible.

The PPCF may require you to remain away from work during your notice period (whether you or the employer gave notice). Where the PPCF exercises this right, you will be required to comply with any conditions laid down by the PPCF and whilst on full pay during such time you will not be permitted to work for any other person, firm, client, corporation or on your own behalf without the PPCF's prior written permission.

Disciplinary and Grievance procedures

You are subject to the PPCF’s disciplinary and grievance procedures, copies of which can be found in the Foundations’ Governance Handbook. These procedures do not form part of your contract of employment.

If you wish to appeal against a disciplinary decision you may apply in writing to the Chair in accordance with the PPCF’s disciplinary procedure.

If you wish to raise a grievance, you may apply in writing to the Chair in accordance with the PPCF’s grievance procedure.

PPCF Governance Handbook You will comply with any rules, policies and procedures set out in the Handbook, a copy of which has been given to you and is available from the Chair. The Handbook does not from part of your contract of employment and the PPCF may amend it at any time.

Suspension PPCF reserves the right to suspend you from work during any period in which it is carrying out a disciplinary investigation into any alleged acts or defaults. Such suspension will be for so long as appropriate and you may be suspended on full pay, reduced pay or without pay in appropriate circumstances.

Health and safety at work You are reminded that you have a statutory duty to observe all health and safety requirements.

Consequence of Termination Upon termination of this Contract you shall: a. Upon the request of the PPCF, without claim for compensation, resign from all offices held by you in the PPCF and its subsidiary, associated or affiliated companies (the “Foundation”) and in the event of any failure to do so, the PPCF is hereby irrevocably authorised to appoint any person the PPCF may select in your name and on your behalf to execute any documents and to do all things required to give effect thereto. b. Immediately deliver to the PPCF, or as it may direct, all books, documents, papers, correspondence, customer lists, records, materials and other property (on whatever media and wherever located) of or relating to the business of the Foundation (or its business contacts) which may then be in your possession or under your control, together with all copies and extracts thereof. c. Irretrievably delete any information relating to the business of the PPCF stored on any magnetic or optical disk or memory and all matter derived from such sources which is in your possession or under your control outside the PPCF’s premises; d. Not at any time thereafter represent yourself as being in any way connected with the business of the PPCF. e. Not for a period of one year thereafter either on your own account or for any other person firm or company transact business with solicit accept orders interfere with or endeavour to entice away from the PPCF to engage in business of the nature carried on by the PPCF during the twelve months preceding termination, any person firm or

company which is, or at any time during such period has been, a customer or a client of or in the habit of dealing with the Foundation. f. For a period of one year thereafter neither solicit entice nor procure any employee to leave the employment of the Foundation who is or, during the preceding 90 days was, an employee of the employer of the Foundation.

Data Protection Act 1998 For the purposes of the Data Protection Act 1998 you give your consent to the holding and processing of personal data provided by you to the PPCF for all purposes relating to the performance of your employment including, but not limited to: a. Administering and maintaining HR records; b. Paying and reviewing salary and other remuneration and benefits; c. Providing and administering benefits (including if relevant, pension, or insurance; d. Undertaking performance and fitness, appraisals and reviews; e. Maintaining sickness and other absence records; f. Providing references and information to future employers, and if necessary, governmental and quasi-governmental bodies for social security and other purposes, the Inland Revenue and Contributions Agency; g. Providing information to future partner organisation or organisations with whom we may merge or transfer an undertaking to; h. Transferring information concerning you to a country or territory outside the EEA.

Sensitive Personal Data From time to time it may be necessary to process sensitive personal data for example, information relating to an individuals ethnic origin for equal opportunity monitoring. By signing this contract you agree that the PPCF may retain and process sensitive personal data about you as the needs of the organisation require.

Copyright Copyright, data base rights registered and unregistered design rights and any other intellectual property rights in any materials in any medium produced by you during the course of your employment shall belong to the employer and you must return all such materials and any copies in your possession to the employer on request. The employee shall, at the request and cost of the PPCF both during the employment and thereafter, if required, take all steps as may be necessary or desirable to substantiate the rights of the PPCF in respect of such work.

Warranty You warrant and represent to the employer that you are now, and will continue to be during the entire term of the Agreement, legally entitled to perform all the duties you have agreed to perform hereunder without any claim or interference from any person, firm or company or former employer and further that you have entered into no agreements with any other person, firm or company that would prevent you or her from fulfilling all your duties hereunder, save as previously disclosed to the PPCF.

Assignment The PPCF shall be fully entitled to assign its right under the Agreement to any subsidiary or associated employer or any company or other organisation with which the PPCF may be merged subsequent to the date hereof on giving you written notice of its intention to this effect. The PPCF may require you to work for any subsidiary or associated organisation.

Variation to Contract The PPCF reserves the right to make reasonable changes to any of your terms and conditions of employment. You will be notified of minor changes of detail by way of a notice and any such changes take effect from the date of the notice. You will be given not less than one months’ written notice of any significant change.

Collective Agreement There are no collective agreements in force governing this contract.

Protection of data held by the Polden-Puckham Charitable Foundation As an employee you agree not to disclose to any person or organisation, any confidential information held by the PPCF. Confidential information includes any information (whether or not recorded in documentary form, or stored on any magnetic or optical disk or memory) which is not in the public domain relating to the business affairs and finances of the PPCF including but not limited to information regarding grants or grant applications or other matters, know-how or data of the PPCF except where this is the agreed policy of the PPCF. Particular care needs to be taken to ensure absolute security of information held on any home personal computer that may be accessed by others, in sending of email. In addition, robust back-up systems are required for all computerised data. The Chair may require evidence of procedures in the handling of the PPCF data.

Competition You shall not during your employment directly or indirectly, either on your own account or as a partner or as an agent, employee, officer, director, consultant or shareholder of any company or any other entity or member of any firm or otherwise, engage in or undertake any business trade or occupation which is or may be in competition with that of the PPCF.

Disclosure You must disclose to the PPCF any direct or indirect interest held by you or any relation in any company firm or business which carries on a trade the same as or similar to that of the PPCF or any subsidiary or associated companies of the PPCF or with any customer or client or beneficiary of the PPCF.

Interpretation The obligations and restrictions imposed by this contract on you: a. are in addition to and not in substitutions for any obligations and restrictions imposed on you by law and b. shall be deemed to be separate and severable as regards each of them and as regards the PPCF.

c. nothing in this agreement will prevent or restrict you after the termination of your employment from being engaged concerned or interested in any trade business or activity after the PPCF has ceased to be so engaged concerned or interested.

Expenses You may be provided with a float to cover miscellaneous expenses. You will be reimbursed all reasonable expenses wholly and properly incurred in connection with your employment including travel, accommodation and other reasonable expenses. Claims for expenses should be fully supported with valid receipts. You will abide by the PPCF’s policies on expenses as communicated to you from time to time. You may reclaim travel expenses by bicycle at a rate of 20p per mile, mileage being recorded as agreed with the Chair.

Maintenance of standards It is our policy to maintain the highest standards in our dealings with grantees, fellow grant-makers and others. You are expected to maintain high standards in your conduct and performance of your duties and to abide by the terms and conditions set out in this document.

Use of E-Mail, Internet and Telephones Where employees are provided with access to telephones and computers, these should be used for business use. Employees must comply with the PPCF’s rules on the use of computers and telephones and the PPCF reserves the right to monitor e-mail and internet communications. You will keep the Chair updated with the PPCF email password.

Other Work You must inform the PPCF in writing before taking up any other paid employment and must keep the PPCF informed of the nature and hours of any such work. Where the PPCF reasonably believes that such employment will have an adverse effect on the PPCF or your ability to undertake this job or your health it may require you to cease such employment or reduce the hours worked.

Working Time Regulations You agree that until you give three months notice in writing revoking this clause that the limitation of the working week to 48 hours in the Working Time Regulations 1998 will not apply.

Contract (Rights of Third Parties) Act 1999 This contract does not purport, and is not intended to confer any benefit on any third party pursuant to the Contracts (Rights of Third Parties) Act 1999.

Governing Law and Jurisdiction This agreement shall be governed by and construed in accordance with the law of England and Wales. Each party irrevocably agrees to submit to the exclusive jurisdiction of the courts of England and Wales over any claim or matter arising under or in connection with this agreement.

Confidentiality on leaving

On leaving our employment you are bound by full confidentiality in relation to all information you may have gained during the time employed. You must not disclose any information to any person, company or organisation whatsoever except by agreement with PPCF.

Signed on behalf of PPCF:

Employee: I agree to the terms and conditions of this contract and acknowledge that I have received a copy.

Signed:

HEALTH AND SAFETY PROCEDURE Approved Autumn 2009 amended Spring 2010

PPCF is responsible for ensuring that the Secretary follows satisfactory health and safety procedures.

Using Health and Safety Executive publication INDG226 ‘Guidance on Home Working’ a health and safety check was carried out on 21.7.09 , documented and emailed to the Chair on 7.9.09. This should be repeatedly annually each summer.

A review in spring 2010 indicated no relevant changes to the health and safety situation.

In the absence of an option for a Trustee inspection of the workplace, a video of the workplace was undertaken on the same day (available from the Secretary on request by usb drive).

The Secretary is responsible for ensuring that these facilities are maintained to a good safety standard. The Secretary should raise any concerns regarding health and safety with the Chair, at the earliest opportunity.

GRIEVANCE PROCEDURE Finalised April ‘09

[The grievance procedure is based on Responding to Conflict’s documentation].

Purpose

The grievance procedure is designed to ensure that any problems or issues an employee may wish to raise relating to their work, working relationships, working conditions or conditions of service are dealt with quickly and effectively and as near as possible to the point of origin.

This procedure does not apply in cases where an employee is dissatisfied with any disciplinary action taken. Under such circumstances the disciplinary appeals procedure should be utilised.

It is expected that most problems or issues should be resolvable through the normal supervisory process and work relationships. However, the grievance procedure exists to ensure that where an employee is experiencing problems with trustees that cannot be resolved through the usual working relationships these can be addressed through a clear formal procedure.

Principles

PPCF is committed to ensuring that our employee has the right and the opportunity to raise their concerns, complaints or grievances with the organisation, through use of the grievance procedure 1. The employee will be provided with a full and fair hearing concerning any grievances they may wish to raise 2. Operation of the grievance process should be demonstrably fair and consistent with previous action in similar circumstances 3. At every stage the employee will advise the PPCF Chair of the nature of his/her grievance in writing and a meeting will be arrange to hear the grievance 4. At all stages the employee will have the right to be accompanied by a trade union representative, friend or other representative. 5. At all stages the employee will be provided with a written response to their grievance, explaining any decision and the reason for it. 6. The employee will have the right to appeal against any decision taken and will be clearly notified of this right. 7. The employee may instigate the procedure at any stage of the procedure if the alleged problem warrants such action. 8. Any individual trustee who is the subject of the grievance, will be clearly informed of the allegations against them and will also be entitled to representation at any grievance hearings. 9. All parties will provide each other with copies of all correspondence, file notes and other documentation relating to the grievance process prior to any meetings 10. PPCF will ensure that the application of the grievance procedure is fair and consistent and reflects the organisation’s commitment to equal opportunities

The Procedure

Minor grievances will be dealt with informally but where the matter is deemed to be more serious the following procedure will be used. At every

Confidential Page 38 of 85 Date 05/04/2018 PPCF Handbook Last Edit 5 April 2018 10:13 Printed 8/6/11 15:51 stage a grievance meeting will be held between the employee, the Chair or other Trustees and agreed representatives.

The employee raising the grievance will provide written grounds for their grievance prior to any grievance meeting being held.

The Chair or other Trustee will provide written grounds for their decision at each stage.

Both the employee and the Chair or other Trustee will provide copies of all relevant documents to the other party prior to the meeting.

PPCF may provide a representative to attend grievance interviews with the Chair of Trustees. This is particularly important at Stages 2 and 3. The role of the employer’s representative will be primarily to observe the proceedings and produce notes.

Informal Stage

If an employee has a grievance about their employment they should first discuss it informally with the Chair. It is hoped that most concerns will be resolved at this stage.

Stage 1

If the employee feels that the matter has not been resolved satisfactorily through informal discussions, they should put their grievance in writing to the Chair who will arrange a meeting to hear the grievance and will give a written response within seven working days of the meeting in an endeavour to resolve the mater.

Stage 2

If the matter is not resolved, the employee may raise the matter again in writing, with the Chair, who will arrange a meeting with two other trustees not previously involved, to hear the grievance. They will give a written response within seven working days of the meeting in an endeavour to resolve the matter.

Stage 3 (Appeal)

If the employee feels that the matter is still not resolved to their satisfaction, they may appeal by putting their grievance in writing to the Chair. The Chair will arrange a meeting of a further two trustees to hear the grievance. They will give a written response within ten working days. The outcome of the Appeal will be final.

Variations of this procedure

If the employee has a grievance with the Chair, all written correspondence with be addressed to the Vice Chair, Stages 1 and 2 will be heard by the

Vice-Chair of Trustees and Stage 3 will be heard by a full meeting of Trustees.

DISCIPLINARY PROCEDURE Approved April ‘09 [The disciplinary procedure is based on Responding to Conflict’s documentation].

Purpose and Scope

The disciplinary procedure is designed to help and encourage our employee to achieve and maintain standards of conduct , attendance and job performance.

The procedure is necessary in order to assist PPCF in running an efficient organisation providing a quality service and intended to ensure that our employee is treated consistently and fairly when facing disciplinary action.

The Chair will provide on-going support and guidance to the employee in the performance of their job through the supervisory process.

However, the disciplinary procedure exists to ensure that problems of misconduct (including attendance and job performance) that cannot be addressed through the supervisory process can be addressed through a clear formal procedure.

PPCF’s Disciplinary Procedure is based on the ACAS model procedure for small organisations.

If an employee has a complaint against a Trustee they should refer to the Grievance Procedure.

For Dismissal on grounds other than Disciplinary, refer to the Dismissal Procedure.

Principles

1. Every effort will be made to resolve the matter by informal discussions between the Chair and employee. Only where such discussions fail will the formal procedures be implemented, although they may be implemented at any stage if the employee’s alleged misconduct warrants such action. 2. The procedure is designed to establish the facts quickly and to deal consistently and fairly with disciplinary issues. No disciplinary action will be taken until the matter in question has been fully examined. 3. Wherever possible, disciplinary interviews will be held within seven working days of written notification and disciplinary decisions will be notified within five working days of the interview. 4. At every stage in the procedure the employee will be advised of the nature of the complaint against him or her, the stage of the procedure being applied, and will be given the opportunity to state his or her case before any decision is made. 5. Serious criminal offences occurring outside of employment can be regarded as grounds for breakdown in trust, in which case PPCF may invoke the disciplinary procedure. At all times PPCF will take account of best practice in relation to criminal convictions and human rights. 6. At all stages the employee will have the right to be accompanied by a trade union representative, employee representative, friend or other representative during the disciplinary interview. Legally qualified representatives will not be given any special status. Confidential Page 41 of 85 Date 05/04/2018 PPCF Handbook Last Edit 5 April 2018 10:13 Edit Number 27 Printed 8/6/11 15:51

7. Employees will not be dismissed for a first breach of discipline except in a case of gross misconduct which will normally result in summary dismissal without notice or payment in lieu of notice. 8. The staff member has the right to appeal against any disciplinary action taken against them. 9. PPCF will ensure that the application of the disciplinary procedure is fair and consistent and reflects the organisation’s commitment to equal opportunities.

The Procedure

Minor faults will be dealt with informally but where the matter is deemed to be more serious the following procedure will be used. At every stage a disciplinary interview will be held between the employee, the Chair and agreed representatives.

The employee subject to the disciplinary procedure will be formally notified in writing by the Chair as soon as the procedure is invoked, and prior to any disciplinary interview being held. Both the employee and the Chair will provide copies of all relevant documents to the other party prior to the meeting.

PPCF may provide a representative to attend disciplinary interviews with the Chair. This is particularly important at stages 2 and 3. The role of the employer’s representative will be primarily to observe the proceedings and produce notes.

Stage 1 – First Warning If conduct or performance does not meet acceptable standards the employee will normally be given a first written warning or performance note by the Chair. He or she will be advised that it is the first stage of the disciplinary procedure. They will also be advised of the reason for the warning, the improvement or change in behaviour required, the timescale allowed for this, any agreed support they will receive, and of their right to appeal. The employee will also be informed that a final written warning may be considered if there is no sustained satisfactory improvement or change.

A record will be kept on the individual’s personnel file but it will lapse after twelve months, subject to sustained satisfactory conduct and performance.

Stage 2 Final Written Warning If the offence is serious or the conduct or performance remains unsatisfactory, then a final written warning will be given by the Chair. This will state the reason for the final written warning, the improvement or change in behaviour require, the timescale allowed for this and the right of appeal. It will also warn that failure to improve may lead to action under Stage 3 (dismissal or some other action short of dismissal).

A full record will be kept on file but will lapse after twelve months subject to satisfactory conduct and/or performance.

Stage 3 – Dismissal or action short of dismissal If there is no satisfactory improvement or if further serious misconduct occurs, the final stage of the procedure may be dismissal. Dismissal decisions can only be taken by the Trustees as a whole.

Statutory Discipline and Dismissal procedure

(ACAS model procedure). If an employee faces dismissal – or certain action short of dismissal such as loss of pay or demotion the minimum statutory procedure will be followed. This involves:

Step one: a written note to the employee setting out the allegation and the basis for it

Step two: a meeting to consider and discuss the allegation, involving the employee and relevant Trustees.

Step three: a right of appeal including an appeal meeting, involving the employee and relevant Trustees.

The employee will be reminded of their right to be accompanied.

Gross misconduct

The following list provides examples of offences which are normally regarded as gross misconduct (this is not exhaustive): 1. Theft, fraud, deliberate falsification of records 2. Fighting, assault on another person 3. Bullying or harassment (whether sexual, racial, or on other discriminatory grounds) 4. Deliberate damage to organisational property or reputation 5. Deliberate misuse of or damage to the computer network 6. Serious incapability through alcohol or being under the influence of illegal drugs 7. Serious negligence which causes unacceptable loss, damage or injury (to others or to the organisation) 8. Serious act of insubordination

While any gross misconduct is being investigated, the employee may be suspended, during which time they will continue to be paid at their normal rate of pay. Such suspension should not be regarded as a form of disciplinary action and will be for as short a period as possible. Any decision to dismiss will be taken only after a full investigation. If the investigation concludes that the employee has committed an act of gross misconduct the employee will normally be dismissed without notice or payment in lieu.

Appeals

If the employee wishes to appeal against any disciplinary action at any stage of the procedure they must appeal, in writing to the Chair, within seven working days of receiving the written decision.

Appeals against all decisions at Stages 1 and 2 will be heard by a nominated Trustee. Appeals against Stage 3 and Gross misconduct will be heard by the Board of Trustees.

For individuals suspended on full pay, this arrangement will continue until the appeals process has been completed.

Where any trustee has already been involved in earlier stages of the procedure, she or he is bound to ensure that they approach the matter with impartiality.

At the appeal any disciplinary penalty imposed will be reviewed but it cannot be increased. The outcome of the appeal will be final.

SECRETARY RECRUITMENT POLICY

Agreed April 2010

Templates for the Secretary Recruitment Process based on our practice in 2007 are on the web site (Policies, Handbook Induction page), and are also filed in PPCF /Internal Systems /Handbook and Policies /Handbook Template Papers /Secretary recruitment.

Remaining points are shown below. Future recruitment will obviously depend greatly on any learning in the intervening period, and resulting changes that Trustees might want to make to our administration at the time. As these are not possible to anticipate the information below, together with the six template documents, probably reflect what can be done on this area at this stage.

· The Chair, admin assistant and trustees have managed these processes in the past (this was effective but very time consuming). · The Secretary's job description, operating procedures, and terms & conditions are kept up-to-date in this Handbook. The person spec, which changes more slowly, is also updated and kept with the documents mentioned above. · Document templates must be maintained ready for use when needed (see above). · Other documents that will need to be developed in the light of circumstances include information to accompany the application forms sent out; a template for recording applicants; a template for recording interview scores and final selection; and a written planned processes relating to the timetable above giving instructions for who will do what at each point covering advertising, dissemination of application packs, receipt of applications, short-listing, interview questions and process, selection process, offer, acceptance, rejection correspondence, period of notice, handover and induction. · Specific learning from previous processes includes: The Friend having proved a successful place to advertise in the past; the possibility of using a consultant to draw up the short-list.

CAPITAL AND INVESTMENTS

ETHICAL INVESTMENT Agreed November 2010

Introduction

PPCF seeks to invest its resources ethically in ways that either promote our values and work, or at the very least do not contradict or undermine them. This practice has been informed by our Quaker origins, and is guided by these principles rather than being rigidly clear-cut. Having said that, the instructions to our investment managers do indicate exclusions from a number of major sectors.

We take an active interest generally in the ethical aspects of investment decisions that are made. We regularly review our investments with the help of our investment managers (currently Rathbone Greenbank) whom we rely on greatly for advice on ethical practice; and through them we use our influence as investors to seek to change corporate practice where appropriate.

We also allocate a portion of our assets to mission related investment such as the Ethical Property Company and renewable energy stocks. Additionally we seek to sign up to and comply with codes of practice that promote our goals.

Capital skimming and spending out (Agreed May 2011)

Trustees review our spending plans every year at the spring meeting, and we may choose to skim our capital reserves at that time. We remain open to the possibility of more substantial skimming, or spending out, and we will review this subject every two years, at the spring meeting of even years.

Investment Decisions

In normal circumstances the trustees are happy for oversight of our investment decisions to be maintained by the finance sub-committee.

INSTRUCTIONS TO RATHBONE GREENBANK

Risk: Balanced investment objective and medium risk

Exclusions: Alcohol, Arms, Oil, Gas and other fossil fuels, Mining, Pornography, Supermarkets (confirmed in November 2010), and Tobacco.

Grey areas: In relation to investments in pharmaceuticals and nuclear power generation, decisions will be made on a case-by-case basis.

Spread of Investments Asset Class Neutral Weighting Tolerance Range Bonds 15% +/-5% Cash 5% +/-5% Overseas Equity 22.5% +/-5% UK Equity 57.5% (balance) N/A Total 100% N/A

We have a benchmark of up to 5% in Property, with ethical considerations desirable.

Carbon Footprint of Investments: We wish to develop a better understanding of the carbon footprint of our investments, so that these may be assessed and reduced in future if possible.

UNPRI: Rathbones have signed up the to UN Principles for Responsible Investment, and our practice reflects this.

London Declaration: We are awaiting an investor friendly version of the London Mining Network's London Declaration, so that we may sign up to this in due course.

GRANT GIVING

GUIDELINES FOR GRANT FUNDING Agreed November 2011 with minor amendments agreed April 2012

1. What we Fund

Peace and Sustainable Security - We support the development of ways of resolving violent conflicts peacefully, and of addressing their underlying causes.

Environmental Sustainability - We support work that addresses the pressures and conditions that risk global environmental breakdown.

Other issues - We no longer accept new applications under this category. Existing multi-year grants will continue to their completion under our usual terms and conditions. We will continue to fund work on corporate social responsibility under our Environmental Sustainability and Peace & Sustainable Security headings. Please contact the Secretary with any questions you may have about this.

2. Approach

Supporting those seeking to change policy or attitudes - Our resources are limited and we receive a huge number of applications. In order to make informed grant decisions we have to focus our grant-giving in a number of ways. For this reason we fund organisations in UK that are working to influence policy, attitudes and values at a national or international level. Within our stated priority areas we support those seeking to promote equity and social justice, and develop radical alternatives to current economic and social structures. They may be single issue groups working to achieve a particular change, or organisations with a broader remit. We give particular consideration to small pioneering headquarters organisations.

We only support practical projects when they are clearly of a pioneering nature, with potential for influencing UK national policy.

UK registered charities - We are a UK based grant giving charity. We support the work of UK registered charitable NGOs.

We also support organisations or projects that are not UK registered charities if they can indicate a UK registered charity that is able to receive funds on their behalf.

Size of grants and supported organisations - We usually give grants of between £5,000 and £15,000 per year, for up to three years. We usually support organisations for whom this would represent between 5% and 50% of their annual income (organisations with an annual income of between £10,000 and £300,000 approximately).

3. Criteria

Your application will be assessed in relation to the following criteria. If a point is marked ‘Essential’ then your application will not be approved if fails this test. If you are in any doubt please contact the Secretary with your questions.

Substance

a. Activity - Does your application fit with our two stated priority areas (peace/ sustainable security and environmental sustainability)? (Essential). b. Strategic thinking – Does your application make sense in terms of its analysis, strategy and proposed implementation? (Essential). c. Changing attitudes or policy - Is this project aiming to influence political decision-makers and/or key opinion-formers? (Desirable). d. National or international impact – Is your project seeking an impact beyond the local level, ideally at a UK national or international level? (Desirable). e. International work – PPCF only funds work outside the UK if it is of international focus. (Essential). f. Fit with other areas of PPCF work – Does your application fit with other areas of PPCF funded work, e.g. do you use video conferencing where possible instead of flying? (Essential)

Practicalities

g. Clarity – Is your application well expressed in plain English? Is it complete? (Essential). h. Charitable work? Is the work you propose to carry out clearly charitable according to UK law? (Essential). i. UK registered charity? a. If you are applying for work based in or managed from UK, can funds be passed to or through a UK registered charity? (Essential, unless you have already checked your eligibility to apply with the PPCF Secretary). b. If you are applying for work outside UK, are you applying through a UK registered charity, or an organisation through which PPCF has existing links? (Essential, unless you have already checked your eligibility to apply with the PPCF Secretary). j. Financial issues, and size of your application and organization (not your project). a. Does the application fall within the range of £3,000 to £15,000 per year for up to three years (Highly desirable). Note: we occasionally fund up to £20,000 per year in exceptional circumstances, but we are not likely to fund more than £10,000 per year if the organisation is not previously known to us. b. If successful would the amount applied for be between 5% & 50% of the organsation’s annual budget (implying that your

organization has an annual income of between £10,000 and £300,000 approximately)? (Highly desirable). c. PPCF does not normally replace government funding, and seeks to fund those projects that would not normally attract funding from such mainstream sources. Does this apply to your project? (Highly desirable). d. Would PPCF funding make any vital difference if it were given? (Essential). e. Are you already getting funding from PPCF? (If you are, then you are much less likely to receive additional support).

4. Exclusions

We do not fund: a. organisations that are large (see above) b. organisations that are outside UK (unless they are linked with a UK registered charity and doing work of international focus) c. work outside the UK (unless it is of international focus) d. grants to individuals e. travel bursaries (including overseas placements and expeditions) f. study g. academic research h. capital projects (e.g. building projects or purchase of nature reserves) i. community or local practical projects (except innovative projects for widespread application) j. environmental/ ecological conservation k. international agencies and overseas appeals l. general appeals m. human rights work (except where it relates to peace and environmental sustainability). PPCF does not normally send replies to applications outside its field of interest, though we do seek to give brief feedback on applications where we can.

5. Applications Procedure

The Trustees meet twice a year in the Spring and in the Autumn. Applications should be submitted on an application form before the relevant deadline (usually in February/ March and September). Exact deadline dates are indicated on our web site. Trustee meetings are generally held in April and October/November. a. Please download and complete an Application Form, which can be found on our web site www.polden-puckham.org.uk . You may include a final page to this 'Word' document for supplementary information if you wish. b. If you are unable to download these files please contact us by email using the address below. c. When emailing your application form please ensure that it is in Word, Pages or LibreOffice format, and please re-name your document with your organisation's name. For example, (yourorganisationnameYY.docx) where YY is the current year. Please send applications to us by email only ensuring that the email with attachments indicated below is below 2MB in size. d. Please also supply a set of the latest audited accounts and an annual report. These should also be sent electronically if at all possible, attached to the same email. If you do not have electronic copies of these documents please send hard copies to the address below. If they are too large, please either compress them or remove images and diagrams to bring your email down below 2MB. If you are a new organisation and do not have an annual report or audited accounts, please indicated this on our form and send us what you have.

e. You may find the grant-writing tips on this web site useful: http://www.arcusfoundation.org/pages_2/news_arch_template.cfm? ID=45 f. Note: We no longer accept applications on paper/ by post.

Address: Please send your application to [email protected] . If you are unable to send electronic copies of your audited accounts and annual report, please send hard copies to: Bryn Higgs, Secretary, Applications, Polden-Puckham Charitable Foundation, BM PPCF, London, WC1N 3XX

6. After applying a. Every application received will be acknowledged by email within two weeks, or one week after the deadline (whichever is the sooner). If you do not receive an acknowledgment please email us to check that your application has been received. If you do not do this there may be a delay in considering your application. b. We are seeking to give brief feedback to everyone who submits an application to us. Please contact us for feedback one week after you have received the trustees decision. The timetable for decisions is indicated on our web site. Bryn Higgs, March ‘12

APPLICATION FORM (Updated June 2013) Polden-Puckham Charitable Foundation Application Form for Grant Funding

Before submitting an application please ensure that you are eligible for PPCF support by checking this on our web site. Please tick here when you have done so [ ]. The deadline for submission of an application to each grant round is indicated on our web site. Please complete this form in dark print (not grey, which is for our text), and number your paragraphs in the longer sections. Data Sharing: PPCF uses an electronic database and internet ‘cloud’ service for storing and sharing applicant information between staff and trustees. We seek to keep this confidential within the Foundation, however by applying to us you are consenting to our using this system. Please contact us prior to submitting your application if you have any concerns.

Overview 1 Name and Address of your organisation Name of project (if different) Website Date organisation Date of Application established 2 Main Contact person Position Email/ Tel E. T. 3 PPCF area Peace or Ecological Sustainability 4 Is your request for Core or Project costs ? 5 Aims and Objectives The application aims and objectives (including what problem it will address) (300 words max). How you plan to achieve these aims and objectives (including any unique benefits that your project offers) (300 words max). How you will judge that the stated aims and objectives have been achieved (300 words max).

6 Please explain how this matches Polden-Puckham’s stated aims (50 words max).

7 Please explain how your work fits with others engaged in this field (100 words max).

8 Please explain how the project is to be monitored, evaluated, and if relevant publicised (200 Confidential Page 55 of 85 Date 05/04/2018 PPCF Handbook Last Edit 5 April 2018 10:13 Edit Number 27 Printed 8/6/11 15:51

words max).

Money Please answer in relation to your organisation, not your conduit. 9 Total organisation income last year £ 1 Have you had a previous application(s) to 0 PPCF considered? If ‘yes’, was it/ were they successful? Please give date(s), project name(s) and amount of grant(s).

1 The budget of your project (organisation if Year 1: Year 2: Year 3: 1 you are applying for core costs) by year from this year (up to 3 years) Amount requested from PPCF by year (up to Year 1: Year 2: Year 3: 3 years)

Please include in your supplementary information a brief summary of your project/ organisational budget in the first year, so that we can see how our grant will be used in the context of the spending on this work. 1 Main sources of income for last financial year (please give the three largest). 2 Source name: Amount: A B C Pending funding applications this year A B C D

People 1 Give brief background details of 3 key people in the organisation. (50 words max) 3

1 Please describe your Board or Committee structure 4

How many members are there and how often does the Board/Committee meet?

Date of last meeting: 1 In the organisation how many workers are there in total? 5 How many are paid and how many are volunteers (full time equivalents)? Names, occupations and contact details (phone, email, address) of two referees.

Final Details 1 Is your Organisation a UK Registered Charity? If Yes, please provide the UK charity name and 6 number? Registered name: Number:

If your organisation is not a registered charity, please provide the name and charity number of a UK registered charity, which will act as a conduit for funding for you. You must ensure that your conduit’s charitable objects cover the activities that you are asking us to fund. Registered Name: Number:

If your organisation has been investigated by the Charity Commission in the past five years please give details.

Please provide the conduit charity contact name, email address and phone number: Name: Email: Phone: 1 Grant Payments may be by BACS. Please fill in details of receiving bank account (yours or your 7 conduit's as appropriate). Bank Name Account Number Bank Sort Code Does your organisation/project bank ethically? 1 Does your organisation have an environmental/sustainability policy? 8 Please give brief details.

1 Please supply any additional information of importance e.g. the imminent departure of a key 9 member of staff.

2 Checklist (please tick the circles to ensure this application is complete before submitting it). 0 o Please ensure that all sections of the application form are completed. o An optional one page of supplementary information (maximum) can be added to the bottom of your application form (please do not attach a separate document). o Please send the document in Word, Pages, .pdf or LibreOffice format. o Please rename your document and your email with your organisation’s name and the year, e.g. ‘yourorganisationsname12.docx’. Please then attach this document to an email from your email address to [email protected] o Please also attach as electronic copies your audited accounts and annual report from the last financial year attached to the same email (including a list of trustees/board members if not listed in your annual report). If you do not have electronic copies please send hard copies to Bryn Higgs, Secretary, Applications, BM PPCF, London, WC1N 3XX. o If you are a new organisation please indicate this, and send us what supplementary information you have. o Please do not send your application by post as it will not be accepted. o Note that you will receive an email acknowledgment. If you do not within two weeks of submitting it, or one week of the deadline passing (whichever is the sooner), please contact us without further delay to confirm that it has arrived. If you do not do this Confidential Page 57 of 85 Date 05/04/2018 PPCF Handbook Last Edit 5 April 2018 10:13 Edit Number 27 Printed 8/6/11 15:51

consideration of your application may be delayed. 2 Typed name or signature of responsible person in the organisation, (also indicating that the 1 application and checklist are correct and complete).

One side (maximum) of supplementary information may be added to this document below, but please at least include a brief summary of your project/ organisational budget in the first year, so that we can see how our grant will be used in the context of the spending on this work. Please ensure that all applications are on A4. Bryn Higgs (April 2013)

1 Name and Address of your organisation Name of project (if different) Website Date organisation Date of Application established 2 Main Contact person Position Email/ Tel E. T. 3 PPCF area Peace or Ecological Sustainability 4 Is your request for Core or Project costs ? 5 Aims and Objectives The application aims and objectives (including what problem it will address) (300 words max). How you plan to achieve these aims and objectives (including any unique benefits that your project offers) (300 words max). How you will judge that the stated aims and objectives have been achieved (300 words max).

6 Please explain how this matches Polden-Puckham’s stated aims (50 words max).

7 Please explain how your work fits with others engaged in this field (100 words max).

8 Please explain how the project is to be monitored, evaluated, and if relevant publicised (200 words max).

Money Please answer in relation to your organisation, not your conduit. 9 Total organisation income last year £ 1 Have you had a previous application(s) to 0 PPCF considered? If ‘yes’, was it/ were they successful? Please give date(s), project name(s) and amount of grant(s).

1 The budget of your project (organisation if Year 1: Year 2: Year 3: 1 you are applying for core costs) by year

from this year (up to 3 years) Amount requested from PPCF by year (up to Year 1: Year 2: Year 3: 3 years)

Please include in your supplementary information a brief summary of your project/ organisational budget in the first year, so that we can see how our grant will be used in the context of the spending on this work. 1 Main sources of income for last financial year (please give the three largest). 2 Source name: Amount: A B C Pending funding applications this year A B C D

People 1 Give brief background details of 3 key people in the organisation. (50 words max) 3

1 Please describe your Board or Committee structure 4

How many members are there and how often does the Board/Committee meet?

Date of last meeting: 1 In the organisation how many workers are there in total? 5 How many are paid and how many are volunteers (full time equivalents)? Names, occupations and contact details (phone, email, address) of two referees.

Final Details 1 Is your Organisation a UK Registered Charity? If Yes, please provide the UK charity name and 6 number? Registered name: Number:

If your organisation has been investigated by the Charity Commission in the past three years, please give details.

Registered Name: Number:

Please provide the conduit charity contact name, email address and phone number: Name: Email: Phone: 1 Grant Payments may be by BACS. Please fill in details of receiving bank account (yours or your 7 conduit's as appropriate). Bank Name Account Number Bank Sort Code Does your organisation/project bank ethically? 1 Does your organisation have an environmental/sustainability policy? 8 Please give brief details.

1 Please supply any additional information of importance e.g. the imminent departure of a key 9 member of staff.

2 Checklist (please tick the circles to ensure this application is complete before submitting it). 0 o Please ensure that all sections of the application form are completed. o An optional one page of supplementary information (maximum) can be added to the bottom of your application form (please do not attach a separate document). o Please send the document in Word, Pages, .pdf or LibreOffice format. o Please rename your document and your email with your organisation’s name and the year, e.g. ‘yourorganisationsname12.docx’. Please then attach this document to an email from your email address to [email protected] o Please also attach as electronic copies your audited accounts and annual report from the last financial year attached to the same email (including a list of trustees/board members if not listed in your annual report). If you do not have electronic copies please send hard copies to Bryn Higgs, Secretary, Applications, BM PPCF, London, WC1N 3XX. o If you are a new organisation please indicate this, and send us what supplementary information you have. o Please do not send your application by post as it will not be accepted. o Note that you will receive an email acknowledgment. If you do not within two weeks of submitting it, or one week of the deadline passing (whichever is the sooner), please contact us without further delay to confirm that it has arrived. If you do not do this consideration of your application may be delayed. 2 Signature of main contact person (indicating that the application and checklist are correct and 1 complete).

One side (maximum) of supplementary information may be added to this document below, but please at least include a brief summary of your project/ organisational budget in the

Confidential Page 61 of 85 Date 05/04/2018 PPCF Handbook Last Edit 5 April 2018 10:13 Edit Number 27 Printed 8/6/11 15:51 first year, so that we can see how our grant will be used in the context of the spending on this work. Please ensure that all applications are on A4. Bryn Higgs (November 2012) LONGER LARGER GRANTS (LLG) PROCESS Agreed April 2013

The impetus for the LLG process came from our Review in 2010/11, when Trustees decided that they wished to have the option to make larger grants, or grants for a longer period, to outstanding current or former grantees or applicants. This was related to a belief that more substantial sustained grant-giving could have a greater effect on the activities and development of certain organisations, at a certain point in their development. Following a pilot project, which successfully identified our first LLG grantee, and developed some useful and some less useful elements to the process, the following points have been agreed (and continue to be under review):

1. Annual grants for up to 5 years (where appropriate) will be made. 2. Amounts of £25,000 to £30,000 per year are anticipated, as appropriate. 3. Our usual grant administration and reporting process will be used. 4. Trustees anticipate that one LLG grant is to be decided upon every 1-2 years, to be determined by Trustees as appropriate. 5. Peace and Environment LLGs are generally expected to alternate. 6. Trustees may put forward organisations for an LLG at the short-listing meeting, so that others may consider the candidate organisation. 7. LLG grant-making will be brought up on the Agenda at all Trustees’ Meet- ings. 8. At that stage Trustees will be able to propose a current or past grantee (or potentially an applicant) for LLG consideration.

The remaining process is for further discussion.

OCCASIONAL LARGER GRANTS Agreed April 2013

Grants to Larger Organisations Notwithstanding PPCF’s main focus of support to small UK based headquarters organisations, Trustees may on occasion make grants to larger more mainstream organisations with a turnover greater than the usual £500,000 maximum limit, where certain conditions are met:

1. Where the applicant is working on issues of unprecedented urgency, such as climate change or nuclear proliferation, and Trustees believe that it is likely to be most effective. 2. Where Trustees have reason to be satisfied that the project would not have happened anyway o this could depend on the degree of separation of the project from the organisation itself. o there is a clear reason why the organisation has chosen not to prioritise this work from its main budget (PPCF would need to be made aware of the constraint preventing this). o there is some clarity that PPCF support would make a difference.

o these issues may require further research. This might include further questions to referees, such as ‘what commitment has the organisation got to this project and why is it that their other funds cannot support this?’, or a visit following the short-listing meeting. 3. Where this issues is flagged at short-listing, so that Trustees are aware that it will come up for discussion.

There are no plans to change our published guidelines with respect to the size of organisation supported, and we will continue to reject organisations on the grounds that they are above our maximum £300,000 or absolute maximum £500,000 turnover limits.

APPLICATIONS PATHWAY DOCUMENT Agreed Oct 2008

This document, when used with the Grants Database (indicated below), describes what happens to an application from the time that it is received by PPCF to the time it is either rejected or a grant process is closed. Each application that we receive is located somewhere along this pathway at any one time. As this document does not easily fit into this Handbook it is available separately as a diagram in draft form (October 2008) and can be found in the filing system as Applications Pathway Document and on the web site Trustees Notice-board Page, Reference section.

PPCF GRANTS DATABASE Agreed April 2012 Data on past and current applications to the trust is now held on the PPCF Database, in our MacMini computer. A link to this is available on the web site (Database page). The software being used means that it is continually updated to the most current version. Back-up copies of this document are held on the Time Capsule back-up system that is kept up to date by the Secretary. The system is protected by an up-to-date virus checker. It is also backed up by copying onto a data stick and being given to the Chair. This system has proved effective and should be maintained unless the Secretary and the Chair agree to propose a change to a Trustees' Meeting.

TRUSTEES’ MEETINGS PROCESS AND PROCEDURES Agreed Autumn 2009, amended following April and Nov 2012 meetings

The Meeting Process Document outlines the tasks to be undertaken from the deadline for submission of applications through to informing all applicants of the outcome of the meeting (including giving them feedback) and the payment of grants and dispatch of terms and conditions documents for grantees to sign. It can be found in the filing system at Internal Systems/ Handbook and Policies/ Handbook template papers/ 090716 Meeting Process Document.

Items for shortlisting meetings (in addition to shortlisting itself) include:  Identify which applications we require references for (often most of the short-listed ones).  Identify which if any applications might be put forward for longer larger grants.  Identify environment applications to consult with Dan Barlow on.

Items for the spring meeting include: · Agree finances for the year (subject to revision later if necessary). · Update our risk assessment (most recent version is in the handbook).

Items for the autumn meeting include: · Provide draft accounts with Chair’s report two weeks before the meeting. · Agree the draft accounts, and appoint auditor/ accountant. · Board Review every odd year, including checking our needs as a trust and every odd year initiating potential trustee retirement and recruitment. · Update trustees’ register of interests. · Review strategy and grant-giving guidelines every 4 years. · Invite Rathbones, JRCT staff, or other speaker of interest every so often. · Ensure annual health and safety review has taken place, with form signed.

Templates for the following reports to the meeting are on the web site and in our filing system in the following locations: · Finance Paper template: Internal Systems/ Handbook and Policies/ Handbook template papers/ 090716 Finance Paper Template · Forward Commitments Template: Internal Systems/ Handbook and Policies/ Handbook template papers/ 090716 Forward Commitments Template · Grants Records Sheet Template: Internal Systems/ Handbook and Policies/ Handbook template papers/ 090716 Grants Records Sheet Template · Short-list template: Internal Systems/ Handbook and Policies/ Handbook template papers/ 090716 Short-list Template

MINUTES AND ANNEXES The following points are suggested to guide our recording of meetings:

1. Minutes from the previous meeting presented to the Trustee Meeting for approval should include annexes to those minutes. 2. Papers presented to a Trustees’ Meeting may contain proposals relating to policy, practice, or our grant-giving and work in general. These papers will be clearly marked 'For Approval' at the top to indicate that they contain such an issue. Such papers should be presented in advance of the meeting, and Trustees may wish to have input into these prior to the meeting. Some individual points may not be discussed in the meeting itself if uncontroversial. In this case 'For Approval' papers will be stated as passed in the meeting (to ensure that it is agreed by Trustees) and minuted as such. These approved papers will subsequently appear as an appendix to the minutes. 3. Certain regular papers to the meeting will usually be 'For Approval', including the Finance paper, Outstanding issues paper (finance section), and Forward Commitments Confidential Page 64 of 85 Date 05/04/2018 PPCF Handbook Last Edit 5 April 2018 10:13 Printed 8/6/11 15:51

paper (finance section). Trustees will pay particular attention to the contents of these papers prior to the meeting. The Handbook will also usually be 'For Approval', including amendments to its contents. It should thus remain as a permanent agenda item for Trustees' Meetings, and be uploaded in its latest agreed version following the meeting. 4. Individual contributions during general discussions at a meeting may be attributed providing an individual agrees.

BRINGING AN APPLICATION BACK FOR RECONSIDERATION Agreed April 2009

Trustees may bring an application back for re-consideration at a subsequent meeting, either to reconsider funding it following a previous rejection, or to consider increasing the funding amount or period. This can happen once for any given application.

ONE GRANT AT A TIME Agreed April 2009

PPCF generally only funds an organisation with one grant at a time, though grant may follow consecutively and conduits may be funded while acting as a conduit for another group.

FAMILY APPLICATIONS Agreed April 2010 In relation to family applications, other than from family serving as trustees which would not be considered, all grants need to be made within our normal areas of focus. Family applications should automatically be short-listed (i.e. that they should go to the appropriate Trustees' Meeting), and we should be prepared to accept a higher level of risk for our grant-giving in these cases. These arrangements should be kept confidential within the trust. Administration in all other respects should be the same as for other applications.

CHECK-LIST FOR ASSESSING APPLICATIONS Agreed 2009, amended Nov 2010, agreed May 2011

Substance a. Activity - Does the application fit with our two stated priority areas (peace/ sustainable security and environmental sustainability)? (Essential). b. Strategic thinking – Does the application make sense in terms of its analysis, strategy and proposed implementation? (Essential). c. Changing attitudes or policy - Is this a social change project aiming to significantly influence attitudes or policy? (Desirable). d. National or international impact – Is the project seeking an impact beyond the local level? We currently interpret 'national' as relating to England, Scotland, Wales, Northern Ireland or the UK. (Desirable). e. International work – PPCF only funds work outside the UK if it is of international focus. (Essential). f. Fit with other areas of PPCF work – Does the application fit with other areas of PPCF funded work, e.g. do they use video conferencing where possible instead of flying? (Essential)

Practicalities a. Clarity – Is the application well expressed in plain English? (Essential). b. Charitable work? i) Is the organisation/ project clearly charitable? (This is an issue with campaigning organisations – see the charity commission guidelines which are linked on the web site). (Essential). ii) Is the project supported by non-charitable trusts. If other funders are non charitable trusts that should be a warning to us that there may be an issue round charitable status). c. UK registered? iii) Can funds be passed to or through a UK registered charity? (Essential). iv) If a charitable conduit is used is its chief function to act as a conduit? v) Does it hand in its accounts each year? d. Funding and Size vi) Does the application fit into the 5 to 50% rule for the organisation as a whole? (Highly Desirable). vii) Are they able to access government or major donor funding for the same kind of work? (Highly Desirable that it is not). viii)What would happen to the project if we didn't fund it? Can PPCF make a difference? (Essential). ix) Are they already getting PPCF funding? (Do not usually do overlapping grants).

Other Points and checks (for discussion in Trustee Meeting) e. Direct knowledge - Does any trustee have first hand knowledge of the project or people involved? Do we know the organisation well? Are the key people exceptional? Do we know any of their referees? Note: If we do not know them or the project this should not count against them in itself. f. Opinion of others - Is it funded by other funders that we know and respect? Do we know the opinion of other relevant people? g. Level of funding – x) For new applicants, should we limit funding to a one-year ‘exploratory grant’? xi) Can we considered multiple year funding (given the advantages for both PPCF and the grantee)? xii) If we are doing multiple year funding have we considered whether to give a full grant each year or a tapering grant?

xiii)Is ‘subscription funding’ an issue? Or are they already supported at a PPCF grant? h. Follow-up - If there is doubt about a particular project is there any trustee who will do some follow up work on it to clarify issues? If we seek an independent opinion - is there a conflict of interest if he or she works for an organisation that is funded by PPCF?

GUIDELINE REFERENCE SHEET FOR PHONE OR EMAIL REFERENCES

Agreed May 2011 This is a suggested outline for a reference gathering phone conversation between the short-listing and trustees' meeting. It is anticipated that it would be used for organisations that we do not already know. This may also be used in en email if phone contact has proved too difficult to make.

My name is XYZ, phoning from the PPCF.

You have been named as a referee by XXXXXX, a project that has applied to us for funding. Do you mind if I ask you a few questions about the project? Is it possible to do this now?

Give background on the project including who applied, what the project is and what they are seeking to achieve, and the amount asked for.

1. Do you know the people involved?

2. How do you know them?

3. What track record of success do they have?

4. Are you aware of the project itself?

5. What level of involvement do you have in it?

6. What are its strengths?

7. What are its weaknesses?

8. What do you think it is likely to achieve?

9. What would make them more likely to be successful?

10. Is there anything else you'd like to say in relation to their application to us?

I hope you do not mind if we presume that the project themselves will inform you of the outcome of their application. As well as informing them of the trustees' decision by YYYYYY I will also be sending them a few words of feedback.

Many thanks for your assistance.

This is a guideline text for use with Emails.

Dear XYZ,

You have been named as a referee by the above organisation who have applied to us for funding. I would be very grateful if you could answer a few questions about the project to assist the Trustees in their decision- making. The questions are standardised for all our applicants, but please feel free to answer in your own format if you wish. If you are able to email me your response by midday on ABC I would be very grateful.

1. Do you know the people involved?

2. How do you know them?

3. What track record of success do they have?

4. Are you aware of the project itself?

5. What level of involvement do you have in it?

6. What are its strengths?

7. What are its weaknesses?

8. What do you think it is likely to achieve?

9. What would make them more likely to be successful?

10. Is there anything else you'd like to say in relation to their application to us?

I hope you do not mind if we presume that the project themselves will let you know of the outcome of their application. As well as informing them of the trustees' decision before the end of April I will also be sending them a few words of feedback.

Many thanks for your assistance and I look forward to hearing from you.

Yours sincerely,

INTERIM GRANTS (LARGE AND SMALL) Agreed April 2010 Grant-making Guidelines between meetings

1. Grants of up to £500 can be made at the chair’s discretion, without wider consultation at any time. The Secretary should be informed at the time. 2. Larger applications that may be of interest to the trust should go to the trustee meeting if possible. 3. If submission to a trustee meeting is not possible, for amounts between £500 and £5,000 (for one organization) consideration by at least two trustees including the Chair as an interim grant is the next best choice. This needs to be communicated to the Secretary at the time. 4. The maximum in interim or small grants that can be awarded between trustee meetings is £15,000.

Grant-making Process for Interim Grants

1. Trustee or Secretary refers a potential grantee to the Chair. In the case of the Chair s/he emails a second Trustee. Secretary to be copied in. 2. The Chair or second trustee responds, and if appropriate the matter is referred to the Secretary to invite the potential grantee to apply using the usual application form. 3. The application form is returned to the Secretary who disseminates it to all Trustees. If the two trustees including the Chair agree, and there are no objections, the grant may be passed and recorded in the usual way. 4. Interim Grants are minuted at next Trustees’ Meeting, so that when accounts are checked there is a minute explaining it.

LONGER LARGER GRANTS (LLG) Agreed April 2012

Supplement 1 - Draft Text for Handbook - Longer Larger Grants (LLG) Process

The impetus for the LLG process came from our Review in 2010/11, when Trustees decided that they wished to have the option to make larger grants, or grants for a longer period, to outstanding current or former grantees or applicants. This was related to a belief that more substantial sustained grant-giving could have a greater effect on the activities and development of certain organisations, at a certain point in their development. Following a pilot project, which successfully identified our first LLG grantee, and developed some useful and some less useful elements to the process, the following points have been agreed (and continue to be under review):

1. Annual grants for up to 5 years (where appropriate) will be made. 2. Amounts of £25,000 to £30,000 per year are anticipated, as appropriate. 3. Our usual grant administration and reporting process will be used. 4. Trustees anticipate that one LLG grant is to be decided upon every 1-2 years, to be determined by Trustees as appropriate. 5. Peace and Environment LLGs are generally expected to alternate. 6. Trustees may put forward organisations for an LLG at the short-listing meeting, so that others may consider the candidate organisation. 7. LLG grant-making will be brought up on the Agenda at all Trustees’ Meet- ings.

8. At that stage Trustees will be able to propose a current or past grantee (or potentially an applicant) for LLG consideration.

The next stage in the process has not been finalised, and will be discussed further. GRANTS TO LARGER ORGANISATIONS Agreed April 2013

Grants to Larger Organisations Notwithstanding PPCF’s main focus of support to small UK based headquarters organisations, Trustees may on occasion make grants to larger more mainstream organisations with a turnover greater than the usual £500,000 maximum limit, where certain conditions are met: 1. Where the applicant is working on issues of unprecedented urgency, such as climate change or nuclear proliferation, and Trustees believe that it is likely to be most effective. 2. Where Trustees have reason to be satisfied that the project would not have happened anyway a. this could depend on the degree of separation of the project from the organisation itself. b. there is a clear reason why the organisation has chosen not to prioritise this work from its main budget (PPCF would need to be made aware of the constraint preventing this). c. there is some clarity that PPCF support would make a difference. d. these issues may require further research. This might include further questions to referees, such as ‘what commitment has the organisation got to this project and why is it that their other funds cannot support this?’, or a visit following the short-listing meeting. 3. Where this issues is flagged at short-listing, so that Trustees are aware that it will come up for discussion.

There are no plans to change our published guidelines with respect to the size of organisation supported, and we will continue to reject organisations on the grounds that they are above our maximum £300,000 or absolute maximum £500,000 turnover limits.

USE OF CONDUITS Agreed May 2011

We will use UK charitably registered conduits when grantees are not themselves charities, unless a specific decision to waive this requirement is made by the Trustees for an individual grantee. The reason for this policy is that it significantly reduces the requirement on us to check on-going compliance of grantees with charity law. We remain conscious of the fact that our grant giving must be made in accordance with Charity law. Where conduits are used they must have charitable objects that encompass the purpose of the grant. When grants are made directly to grantees that are not charitably registered the secretary will ensure that we have clarity about which charity heading the grant comes under.

VISITING APPLICANT OR GRANTEE ORGANISATIONS Agreed Oct 2008

PPCF has no formal procedures for visits. An informal sheet to prompt some preparation before the meeting and to give some structure to the issues that might regularly be addressed in such meetings is shown below.

Supported Project Visit - Outline Framework Nov 08

Background 1. Check purpose of grant and reporting 2. Check status of grant and stage in cycle 3. Check for other database points, any personnel issues, their web site etc. Purpose of the meeting

Points arising for the meeting

Strategic Approach and resulting implementation progress 1. Check strategy (logical process) 2. Check implementation plans (based on evidence and linked to strategy) 3. Check implementation progress (what are the measures and how is progress?) Points arising from the meeting

Future 1. Emerging ideas and changes 2. Creative thinking 3. Other points they may want to raise Points arising from the meeting

Recommendations to the Trustees (if any)

Feedback for PPCF Positive or negative points to improve our practice

Note: Draft reports should be circulated amongst PPCF visitors for agreement prior to uploading.

REPORTING BY GRANTEES AND GRANT CLOSURE Agreed April 2009 Amended November 2011, April 2012, April 2013

When a grant is made a trustee will volunteer to be the Named Trustee for that grantee, and this will be recorded in the database. Reports from grantees will initially be filed in the shared Dropbox folder as well as on the database, and the Secretary will alert the Named Trustee for that grantee. The Trustee will raise any issues of concern that might prevent payment of any subsequent year’s grant with the Secretary within two weeks. If no issues are raised in that time the Secretary may process the next payment. If necessary issues raised will be discussed with the Chair for resolution.

Reporting by grantees is required before disbursal of second or third year funding, and consideration of subsequent applications. Grantees may use the reporting form (provided on the web site or by email) and are encouraged to report electronically rather than on paper. If they wish to report in other ways that is also acceptable, provided they do so with reference to the original purpose of the grant and respond to questions we may have. Reports are uploaded onto the web site for Trustees to view.

Core funding may be reported on using the annual report/ accounts, in order to reduce the need for excessive administration, when the timing of those reports permits it.

Late reporters will be prompted to report by the Secretary to either report or re-arrange their schedule with PPCF, for up to one year. After that our general practice will be to require a new application from them should they wish to receive further funds. In any case our existing practice of requiring funds disbursed to be reported on, and for no further funds to be disbursed until that happens, will remain.

The Secretary may create and authorise a subsequent year electronic payment for a grantee if s/he is satisfied that reporting has been satisfactory, but the Trustee so-authorising the payment must also themselves be satisfied by the report (available on the web site or database), and is indicating their assent by giving authorisation.

Second and third year funding requires both receipts and signed terms and conditions from grantees, both of which will ideally be submitted electronically. Final reports from grantees will be acknowledged by the Secretary, indicating that the grant may normally be considered closed if they have not heard from us within two weeks.

The report will be posted onto the web site (Grantees and Reports page) or filed in the database, and for two weeks Trustees are invited to raise concerns or issues with regard to the work done. Any issues will need to be communicated to the grantee concerned within 2 weeks of their acknowledgement email. After two weeks the grant shall be considered closed and the grantees obligations to PPCF complete (barring any subsequently discovered serious abuse or misuse of funds). Confidential Page 73 of 85 Date 05/04/2018 PPCF Handbook Last Edit 5 April 2018 10:13 Edit Number 27 Printed 8/6/11 15:51

OTHER ORGANISATIONAL ISSUES

UPDATED 2011

PPCF WEB SITE, EMAIL, AND CONFERENCE CALLS The PPCF website is being developed to serve multiple functions: 1. Inform prospective applicants of trust objectives, guidelines, criteria and applications process. 2. To discourage applications that are not appropriate or likely to be funded, and offer correspondents an avenue through which to make complaints. 3. To disseminate information about the Foundation to the public in general, and those working in our sector specifically, in a time-efficient manner. 4. Communication channel for trustees including but not restricted to: a. Minutes b. Upcoming meetings and indication of trustees/Secretary’s attendance c. Reports of meetings attended and grantee visits, after their agreement. d. Secretary’s year plan, week plan, work log e. Grant applications and grantee reports f. Links to other websites, including ACF, Charity Commission, and sources of information relevant to our grant-giving areas etc. g. Links to documents of interest to trustees

Essential information regarding the web site is held in our document entitled ‘Web Site essential Information’ which is in our filing system under Polden Puckham/ Internal/ IT/ Web Site/ Martin Brown. It will also be in our back-up files filed similarly and emailed to our chair and vice-chair. The domain name is registered with Martin Brown whose email is [email protected] . The FTP server is polden- puckham.org.uk. Passwords are in our web site essential information doc in the files. Information for editing on Joomla is also held in the essential information document.

Conference calls can be done through http://www.conferenceuk.com/Reservationless.aspx We use their 'reservation-less' service, which simply involves dialling the number and this access code at a pre-arranged time. The instructions are as follows: 1. At this time dial the number 0844 481 5502 on your phone. 2. Then enter 16521652# 3. You can then say 'hello'

POLICY ON PPCF INTERNAL ENVIRONMENTAL AND ETHICAL PRACTICE Agreed Autumn 2009. Re-written Spring 2010

Ethical banking: PPCF will itself seek to bank ethically, for example with Triodos or the Co-op. Where appropriate PPCF will seek to encourage others to do the same.

Travel: Trustees and staff should seek to prioritise environmental considerations over cost when deciding travel options, using public transport where appropriate. When considering grant applications preference will be given where possible to projects designed to reduce flights, such as the use of staff in-country rather than shuttling to and from UK or elsewhere.

Funding of first class or business class flights (or other transport) should only take place where absolutely necessary.

Communications: We will seek to use video conferencing where appropriate to reduce our travel, and we will encourage grantees to do the same. We will continue to make efforts to reduce our use of paper, with documents circulated by email, on the PPCF web site and through Google Docs where possible. Recycled paper should be used if paper is necessary, and paper used should be re-used or recycled.

Sustainable energy use: Recognising the importance of promoting renewable energy sources, PPCF will seek to ensure that its office is supplied with electricity from renewable energy suppliers, such as Eco- Tricity or Good Energy. PPCF will encourage its staff to ensure that the office space used is well insulated, and in consultation with the Chair support this process by allowing a limited amount of staff time to be negotiated to make these improvements.

Ethical Products and Food: PPCF will seek to purchase FairTrade or other ethical products in preference to others where possible. PPCF will provide vegetarian food only, as part of its efforts to reduce its environmental impact. Where possible we should ideally use seasonal organic food with minimal packaging.

Venues: In choosing venues for meetings PPCF will seek to choose those that reflect our commitment to these policies above, and to encourage them to do so by enquiring about their policies and practices where appropriate.

PPCF HISTORY PPCF was given its name following the merging of the two trusts below, in part because some trustees were keen to remove the name Gillett from the new foundation. The A. N. Gillett Foundation was known as the Puckham Charitable Trust after a farmhouse that Nicco and Ruth lived in during the war, the word Polden having been chosen to represent the A.B. and M.C. Gillett Foundation, after the Polden hills near to Street, Somerset, where they lived.

1 THE A.B. & M.C. GILLETT CHARITABLE TRUST (POLDEN) Originally a non-charitable or “benevolent” trust was formed which was intended to serve three purposes:

1. To provide loans to grandchildren buying houses. 2. To supplement the pensions of their employees. 3. To support with the bulk of the funds a number of charitable causes in which they had taken a special interest such as: 4. The three Quaker bodies QPS, QSRE and Quaker Home Service. 5. Woodbrooke College 6. The Anti-Slavery Society 7. The Josephine Butler Society 8. South African causes especially race relations 9. Natural History and footpaths preservation bodies.

The Joseph Rowntree Charitable Trust Deed was mentioned as a guide e.g. no grants for buildings. On one occasion it was said that “new occasions teach new duties and time makes ancient good uncouth”. Also that when new trustees had new enthusiasms and expertise the list of grants should be extended e.g. for P.T.A.s M.C.G asked what she should do about her share in the W.S.Clark 1908 Trust and I thought fit to advise that she should add it to the trust.

After the death of M.C.G. the law changed and as secretary I was advised by the accountants in 1970 to form a Charitable Trust. This involved making final gifts to some employees because the “charitable” grants had to be confined in their case to the relief of poverty. Partly owing to the small amount of income and partly to my shortage of time the number of grants was kept to a minimum. In particular the three grants to Friends House was replaced by one to QPS. This may pose a question for the future. A.N.G 12.8.88

2 THE ORIGINS OF THE POLDEN-PUCKHAM FOUNDATION The A.B. & M.C. Gillett Charitable Trust

The trust was originally a Benevolent Trust able to make small grants to supplement the pensions of those who had worked for A.B.G. and M.C.G. but with the bulk of the income always going to charity.

Following a change in the law, on the accountant’s advice and with Jan’s approval, I set up the Charitable Foundation in 1970, seven years after the death of M.C.G. She left no document of guidance but she talked to me about her intentions on many occasions and A.B.G. talked to me once or twice. Confidential Page 76 of 85 Date 05/04/2018 PPCF Handbook Last Edit 5 April 2018 10:13 Printed 8/6/11 15:51

“The fist call on the trust should be always be the Quaker Committees in Friends House and Woodbrooke College.” These three committees Quaker Peace and Service, the Home Service Committee for producing publications and organising conferences, and the Quaker Social Responsibility and Education Committee. Now that there is more money it would be right to make three donations instead of one, in my opinion.

In a second category of lesser importance came the Anti-Slavery Society and the work of Josephine Butler. My parents were also concerned about the League and United Nations affairs, for some reason Oxfam was never discussed, although they had shared starting it.

Africa and especially South Africa remain in need of better race relations and were always in the forefront of their minds. Finally they quoted “New occasions teach new duties” and hoped that the interests of trustees especially those doing the main work, would be reflected in the grant list.

At first two people who were not her descendants were trustees, one of them treasurer of what became Quaker Peace and Service, the other her accountant. She assumed that those who followed would have an interest in her Quaker concerns. I am not sure whether I followed her intentions when inviting people out of touch with their local Meeting to join me, after I acted as Settlor for the 1970 Foundation, but of course she was inclined to give the benefit of the doubt to grand-children.

The J.R.C. Trust was frequently mentioned as a guide to effective giving and establishing priorities and so some notes on it are attached. In particular they warn against paying for “bricks and mortar” and that even includes Meeting Houses.

A.N.G. November 1991

3 THE A.N. GILLETT CHARITABLE TRUST (PUCKHAM) Memorandum to the Trustees July 1971

With an income of about £3,500 when tax is reclaimed it is possible to give most of it away in small grants and this usually achieves more than making one or two large gifts each year; however if time is short a few more substantial gifts may be more appropriate.

If there is no one in the family with any inclination to administer it or to supervise its administration, either the income or the capital may be offered to the Joseph Rowntree Charitable Trustees who have the means to administer it effectively. In any case very wise guidance for trustees may be found among the permanent papers of the J.R.C.T. which I keep. Another possibility is that someone at Thomson McLintock would do the work as advised.

It is good but not essential that one of the trustees should be well acquainted with a recipient organisation on the other hand it is often embarrassing if not corrupting to be constantly in touch with people who Confidential Page 77 of 85 Date 05/04/2018 PPCF Handbook Last Edit 5 April 2018 10:13 Edit Number 27 Printed 8/6/11 15:51 know one is a trustee. Anonymity whenever possible should be the aim, and this is usually best maintained at a distance, but this principle has somehow to be combined with the seeking of wise advice.

The relative merits of supporting research and action, of choosing books, broadcasts or films to spread ideas are always hard to determine. Taking a risk and supporting a cause before it becomes popular is usually worthwhile, as has happened with peace research. Sometimes it is better to support non- charitable work through the Fund and I hope that this trustees of the A.N.G. Fund will always be willing to strike this sort of bargain.

Joseph Rowntree stressed the value of supporting good people rather than more organisations and of looking for the “causes of evil” rather than providing soup kitchens. Bricks and mortar national appeals are seldom the best causes to support unless there is some special reason for their being neglected by the public.

In choosing new trustees age range and width contacts will have to be considered. It has always been assumed since R.C.G. gave the original capital (but did not want the trust named after her) that our children would be given some preference and if not themselves trustees could always make suggestions. It is well to consider in appointing trustees from outside the family whether it is best for them to have more financial skill but no special knowledge of any of the main fields in which the trust operates or whether some such specialised interest is wanted. Presumably for many years to come peace work will take the largest share of the funds available but that consideration will be given to mental health.

4 THE PUCKHAM CHARITABLE TRUST This trust was established in 1961 by A.N.G. and R.C.G when A.N.G. was a trustee of J.R.C.T. and of what became in 1970 the A.B. & M.C. Gillett Charitable Trust. His time for administration was therefore short and a policy of a few large grants coupled with a few smaller exploratory grants was followed, using, sometimes, information derived from the J.R.C.T.

The aims from the first were peace and international goodwill and understanding. Ruth was already concerned with refugee questions, A.N.G. with peace and education for peace, but each shared the other’s interests and made the most of the overlap.

In the course of the first thirty years the environment has been added to peace as a main or major field, thanks to David’s initiative. It is assumed that all trustees will feel free to bring forward their own proposals, such proposals should fit more or less into the main fields of our interest and expertise, otherwise we would be discussing in the dark and applicants to the trust become confused about what will be suitable as an appeal. All grants have to be made public and act as a guide to applicants.

To provide some idea of how this worked in practice, here is a list of the larger grants for the year ending in April 1984. 1. The Armament Disarmament Information Unit 2. The Foundation for Defence Alternatives 3. A film by Oliver Postgate on Nuclear Weapons

4. The Hinkley (Nuclear Power) extension enquiry 5. International Voluntary Service (workcamps) 6. Society for Environmental Improvement 7. Population Concern

In setting up the trust we assumed that our six children would be offered the opportunity to help in using the funds wisely but that other people would be invited to fill the gaps. It is necessary for new trustees to have some knowledge of one of the main fields but be keen to extend their knowledge more widely so as to be objective when their favourites applications come before the trust. In addition there is a certain expertise to be acquired for grant-making in general. The definition of what constitutes a charitable gift is itself complicated. Grants may be larger or smaller, longer or shorter, specific or general, radical or superficial and with benefits disseminated or not. Good people with good track records should be favoured but people tend to have their brightest ideas in their twenties.

A.N.G. 13/11/91

5 SOME NOTES ON THE JOSEPH ROWNTREE CHARITABLE TRUST The two trusts which are joining draw some of their ideas from the Rowntree Charitable Trust established by Uncle Joseph in 1904. This is partly because A.B.G. was one of its trustees for its first period and A.N.G. for its second period, but mainly because its trust deed and memorandum together with its practice are frequently held up as examples for others to adapt to their own circumstances. The memorandum is well worth consulting. The following are some of its principles:

1 Areas of work The J.R.C.T. confines itself usually to certain areas. In its case these were Quaker work, peace, social welfare and education, so it was appropriate that all trustees should have been members of the Society of Friends, carrying some built-in resistance to the temptations of wealth. Trustees have tried to avoid specialising too much in one area but have spread their interests in all by a process of learning from each other on the job.

2 Causes There was always preference for dealing with the causes of poverty, unemployment, war etc. rather than treating the symptoms. Democratic governments tend to assume that the future therefore planning for the future only extends to the next election. The trusts have to balance this with views of longer periods e.g. up to the abolition of war, which Joseph Rowntree through might be achieved by 1924!

3 People rather than bricks and mortar Whereas other trusts can almost always be left to contribute for tangible objects like buildings, the abstract needs of international organisations, partly because they are abstract and partly because they are not close at hand, often go unmet. Coupled with this is the preference for

“strengthening the arms of good people” by means of travel grants, office equipment etc.

4 The size and length of grants The single one-off grant is usually requested and often given. Triennial, quinquennial or reviewable grants should also be considered more frequently, possibly with the promise of review towards the end of the period. It is best to give no more than half of a budget for fear of creating a dependency. A donation of less than five per cent may be a waste of the trustees time. The value of giving early has to be taken into account. Grants may take the form of general budgetary support, specific encouragement of training by consultants e.g. in fund-raising, keeping accounts, public relations or by travel to corresponding organisations abroad. For the most part the essence of the work is education by the spreading of ideas. This implies a consideration of the relative values of classes, meetings, conferences, books, pamphlets, newspaper articles, radio, television, videos or some of the newer methods of informal education which have some value due to their novelty such as fund-raising or even weaving a tapestry. Selecting target groups and identifying so-called multipliers are but two of the new approaches.

5 The Flexibility of the trust A trust needs to move with the times and recognise most trusts are managed by elderly people who are behind the times. There is undoubtedly a place for a trust which will be of the value of helping new ideas to spread. This may lead to a rejection of appeals which though good have already enough backers such as Oxfam and possibly Appropriate Technology, in order to have funds to support other work. Some small trail-blazing grants may be in order to decide which deserve fuller support. Apart from this larger but fewer grants simplify the administration and allow the trustees to keep a close contact with what is going on.

6 The selection of trustees Ideally they should have been giving their time or personal funds to one or more of the areas of interest of the trust. A spread of ages is useful and it works well to have a trial period to see whether the newcomer feels at home with the rest and whether the rest feel at home with the newcomer.

7 Trust Meetings Have been held quarterly. This has prevented most applicants from waiting an unreasonable time for an answer. On the Friday evenings it was usual to hear form one or two recipients either about their specific projects or about the whole field in which they were working. They sometimes had useful advice to give about future developments which formed guidance for the following day.

On the Saturdays a finance and investment report was given in five minutes and the rest of the day was given to the discussion of grants in which the trustees were better fitted to take part!

Every ten years there would be a different sort of meeting in which a review of one of the main areas of work took place often with the help of an outside speaker.

Obviously the J.R.C.T. was a much bigger trust and some of its practices are only suited to a larger trust.

6 NEW TRUSTEES The PPCF was formed from two roughly equal part, The Puckham Trust and the ABG and MCG Foundation and the trustees from each. A balance between these two components needs to be borne in mind in the appointments of new trustees.

The funds available for grants have grown considerably over the last decades. In addition to Nicholas and Ruth's donations, five of their children gave in total approximately 240,250 Clarks shares to the Puckham Trust, which included bonus shares. Also there was a legacy from David of 22,000 Clarks shares that was made to PPCF.

PPCF is now among the 300 largest grant-making trusts in Britain. Large family trusts, like large family companies, have normally found that at some point in their development they needed to look beyond the family for expertise and advice if not for trustees.

With the retirement of Jan, resignation of Jean and imminent retirement of Nicco the number of trustees will be reduced to five.

For some time Nicco has talked of the need to invite outsiders onto the Foundation and gradually David and Bevis, who were reluctant at first, have also become convinced that this would be desirable for the effective running of the Foundation. Nicco is particularly keen that we ask one or more Quakers or attenders to join us.

Harriet is keen that we should consider inviting other family members, including the next generation, to be trustees.

Under the new Charities Act there is pressure on trustees to take their responsibilities much more seriously than hitherto.

The trust deed of the PPCF requires that there be a minimum of four trustees and a quorum of three.

The requirements of a trustee are to be in general sympathy with the approach of the foundation as expressed in the guidelines, to be radical and adventurous in seeking out projects, to have a knowledge of at least one of the fields of interest of the Foundation, to have the time and commitment to devote to trust work, to have or develop a skill in assessing projects, and to be able to work well with the other trustees.

THE HISTORY OF THE POLDEN-PUCKHAM CHARITABLE FOUNDATION Bevis Gillett has provided the following history of the Trust for incorporation into the handbook and for use in trustee and staff induction.

Polden Puckham’s name was decided following the merging of two charitable trusts the A.B. and M.C. Gillett Charitable Trust and the Puckham Charitable Trust (formerly the A. N. Gillett Charitable Trust) in 1990. The name Polden comes from the Polden Hills which overlook Street, the home of Clarks shoes and the name Puckham comes from the name of the farm cottage where Nicholas and Ruth Gillett lived during the 2nd World War. The main endowment for both trusts comes from the family connection with Clarks shoes and in the case of the Puckham Trust, also their family links with Cadburys. The A.B. and M.C Gillett Trust was set up as a benevolent trust, so could benefit friends and family as well as charities. On the advice of accountants in 1970 it was recommended that it was made into a charitable trust. As Nicholas Gillett was responsible for running the trust at that time he performed the role of settlor.

THE BACKGROUND OF THE A.B. AND M.C. GILLETT CHARITABLE TRUST When the trust was established Nicholas stated that his mother wanted. “The first call on the trust should be the Quaker Committees in Friends House and Woodbrooke College”. The Quaker committees included Quaker Peace and Service, the Home Service and the Quaker Social Responsibility and Education Committee. Nicholas stated that “in a second category of lesser importance came the Anti Slavery Society and the work of Josephine Butler. In addition, my parents (Arthur and Margaret) were concerned about the League and United Nations affairs along with Africa and especially South Africa , which they realised needed better race relations and was always in the fore front of their minds”. In terms of funding policy , they warned against paying for bricks and mortar and that even includes Meeting Houses. Finally, they quoted “new occasions teach new duties” (a quotation originally attributed to Joseph Rowntree). and hoped that the interests of trustees especially those doing the main work, would be reflected in the grant list. At first two trustees, who were not family members were involved as well as Nicholas. The Joseph Rowntree Charitable Trust was frequently mentioned as a guide to effective giving and establishing priorities.

THE BACKGROUND OF THE PUCKHAM CHARITABLE TRUST The trust was established in 1961 by Nicholas and Ruth Gillett when Nicholas was a trustee of the Joseph Rowntree Charitable Trust. His time for administration was short and a policy of a few large grants coupled with a few smaller exploratory grants was followed sometimes using information derived from the Joseph Rowntree Charitable Trust. The aims from the start were peace and international goodwill and understanding. Ruth was already concerned with refugee questions and Nicholas with peace and education for peace. Nicholas stated that the peace research movement began with Kenneth Boulding in the USA, Johan Galtung in Norway, SIPRI in Sweden and the Richardson Institute in London/Lancaster. The study of Confidential Page 82 of 85 Date 05/04/2018 PPCF Handbook Last Edit 5 April 2018 10:13 Printed 8/6/11 15:51

Conflict Management especially under John Burton also proved an effective contribution in Britain. Despite the work of Philip Noel Baker, disarmament seemed to put the cart before the horse. Alternative methods of settling disputes are more likely to lead to disarmament than visa versa. A stage has now been reached when it is more than ever necessary to respond to novel initiatives such as peace through democracy, pacification before and after violent conflicts by forms of peace education. Finding new ways of involving the media in preserving, guarding and making the peace, and ways of strengthening the UN is also of great importance. All of these methods are related to a change of personal values , to non violence and to Quaker approaches to peace making In the course of the first thirty years the environment has been added to peace as a main or major field, thanks to David’s initiative. It is assumed that all trustees will feel free to bring their own proposals, such proposals should fit into our areas of policy and expertise. As an example of how this worked in practice in the past - larger grants in 1984 were given to 1. The Armament and Disarmament Information Unit 2. The Foundation for Defence Alternatives 3. A film by Oliver Postgate on Nuclear Weapons 4. The Hinkley (Nuclear Power) extension enquiry 5. International Voluntary Service (workcamps) 6. Society for Environmental Improvement 7. Population Concern

It is necessary for new trustees to have some knowledge of one of the main fields, who are keen to extend their knowledge more widely so as to be objective when their favourite applications come before the trust. In addition, there is a certain expertise to be acquired for grant making in general. The definition of what constitutes a charitable gift is itself complicated.

From Nicholas’ letter as a resigning trustee. He noted “the usefulness of the programme at The Joseph Rowntree Charitable Trust providing for the training of trustees by the visitors invited for the Friday evenings before the business was started on the Saturday and holding longer sessions or conferences to review growing points and new needs in the four fields in which grants were made The method of appointing new trustees proved a difficulty which has I believe yet to be overcome.

With regard to funding “peace” initiatives The Polden-Puckham Charitable Foundation has a special responsibility in this important field because the Rowntree Charitable Trust, I am told, is the only trust which gives larger grants . It is easy in grant-making to follow popular trends and justify it by arguing that the competent people are turning that way and putting up strong projects for funding. There are times when this tendency must be resisted and this seems to be one such time. For many people fail to envisage what a total war, or total anarchy would be like. All the time weapons are becoming more dangerous and yet the governments working through the UN have failed to perceive the implications We are fortunate to have a number of proposals from able people who do. It is a privilege to be able help them by making grants and visiting them to encourage them in their difficult tasks. The more trustees are knowledgeable about their

Confidential Page 83 of 85 Date 05/04/2018 PPCF Handbook Last Edit 5 April 2018 10:13 Edit Number 27 Printed 8/6/11 15:51 work, the easier it will be for them to give this kind of encouragement. As Anthony’s time is very limited the next trustee to be appointed should have this interest at heart. This was a condition of my resignation”.

ANNEXES

ANNEX 1 FORMAT FOR RECORDING WORKING HOURS The current format for recording working hours is contained on the PPCF web site in the file Sec Records

ANNEX 2 FORMAT FOR RECORDING LEAVE The current format for recording leave is contained on the PPCF web site in Sec Records

ANNEX 3 ANNUAL WORK PLAN The current annual work plan is in the same file, and will be updated in due course.

Confidential Page 85 of 85 Date 05/04/2018