In recent decades financial pressures on local authorities (LAs) has resulted in significant changes in the ways their services are provided through, for example, contracting out services, co-production, asset transfer, volunteering and establishing new types of organisation (such as social enterprises and mutuals).

Such developments have presented internal and external organisational, cultural and operational challenges for LAs when forging new relationships between commissioner, producer, and customer/citizen. Building on evidence-based hypotheses from previous academic and action research, this project will help LAs produce new solutions to increase the impact of social policy interventions.

The new two-year project, beginning in September 2015, will work with six local authorities in North East England to do this work, including: Darlington Borough Council, Durham County Council, Gateshead Council,, Northumberland County Council, Stockton-on-Tees Borough Council and Sunderland City Council.

The project, jointly funded by the ESRC and Institute for Local Governance will be undertaken by Professors John Mawson (ILG), Tony Chapman and Fred Robinson of St Chad’s College, Durham University. The aim of the proposed programme of work is to assist LAs in navigating change in a complex political, social and economic environment which may demand fundamental change in the way that service delivery is conceptualised and effected.

To do this, LAs need to consider and embed new ‘ways of thinking’ about their working relationships with external organisations. Their ultimate purpose is to reduce the costs and improve the quality of services through new approaches to delivery whilst at the same time engaging more directly community organisations and citizens in the process.

The work will address six areas of policy and service delivery where impact can be achieved by 2019:

1  Outsourcing of local authority services:

Considering different approaches to outsourcing including the establishment of LA wholly owned companies/social enterprises built from former in-house providers, to Third Sector/Private Sector consortia/partnerships, etc.  Determining what factors contribute to good decision making on outsourcing – such as knowledge/evidence of good practice/economical delivery in-house or by external organisations.  Exploring the factors which make outsourcing possible or not: involving exploration of issues surrounding LA organisational culture/history, configuration of local parties in the council, political climate, attitudes and beliefs of Members, etc.

2  Growing the ‘civic core’ through volunteering

Role and efficacy of current grant funding regimes and LA support for local community organisations. Assessment of the extent of volunteering in the area and recognition of most effective routes to volunteering via the LA, TSOs, faith groups etc.  Raising awareness of the strengths and weaknesses of volunteer contribution, knowing where unmet demand currently exists and how to increase supply of volunteers, awareness of how to assess/understand the value of volunteering for the local area. Leverage LA has to contribute towards the civic core through employee supported volunteering schemes, pre-retirement planning, skills-share programmes, etc.

3  Partnership working and co-production

Assessment of LA’s willingness and potential to work as a ‘lead partner’, ‘consortia partner’ or ‘support partner’ in social interventions funded via external sources, shared resources or a mix of shared and external resources.  Recognising the scope for and identifying practicable approaches to alternative service delivery models delivered in conjunction with other public sector organisations (particularly health, police and fire services) and Third Sector/Private Sector organisations. Approaches to investment in partnership building and the encouragement of partnership potential amongst TSOs in advance of potential initiatives.

4  Assessing the impact of interventions involving TSOs

Exercising effective judgement decisions on where impact measurement assessment should be employed. Producing transparent and achievable objectives for interventions which are realistically matched with levels of resource invested to achieve them. Knowing when requirements for impact assessment may or may not be achievable and the appropriate technical measures, recognising the need for innovative practice, knowing when calls for interventions to become sustainable are not realistic. Adopting principals and measures which allow for good judgements to be made on the social value of less measurable small-scale interventions.

5  Hearing the ‘voices’ of the Third Sector in the commissioning cycle:

Establishing/maintaining governance protocols and structures to ensure Third Sector representation. Structured engagement and involvement of Third Sector in identifying and setting local and strategic priorities via, for example: area committees, for a representing communities of interest, councils of interest, strategic planning groups (such as an LSP), etc. How to ensure that TSOs can contribute effectively to the design of innovative solutions in service delivery – and especially so when funded through a range of LA or non-LA sources.

6  Strengthening the confidence, capacity and capability of the Third Sector

Maintaining good intelligence on sector structure, dynamics and strengths upon which realistic decisions about investment can be made. Building LA understanding on the limits of Third Sector engagement/compliance with political/procedural preferences to allay expectations of ‘incorporating’ Third Sector organisations into LA policy and practice. Assessing the scope for and benefits to be accrued from investment in Third Sector capability and capacity to contribute to LA initiatives and understanding the limits of such investment. How effectively to communicate LA agreed priorities to the Third Sector, and devising mechanisms for signposting TSOs to other sources of funding and support in areas where the LA cannot/does not want to invest.

The Keeping it Simple report is available to download, together with a summary report – published October 2014:

KEEPING IT SIMPLE How to work effectively with the third sector (October 2014)

Keeping it Simple (Summary Report) October 2014

The final report from this study, and its sister project, Sharing the Responsibility, can be downloaded here: ILG How to work effectively with the third sector discussion paper March 2019

Professor Tony Chapman and Professor Peter Wells

Professor Tony Chapman, St Chad’s College and Professor Peter Wells, Sheffield Hallam University have been commissioned by Charity Bank and Northern Rock Foundation to undertake a study in Cumbria on the interest charities and social enterprises have in borrowing money.

The purpose of loans may include mortgages, investment in upgrading property, buying equipment, or for working capital.  Professor Chapman is undertaking a quantitative study in Cumbria which will produce comparable data for charities in North East England and Yorkshire.

Statistics will be produced on the size of the marketplace for loans in Cumbria for different purposes, and the characteristics of organisations which may be prepared to take loans.  Professor Wells will do interviews with key stakeholders across the county to find out what the incentives and barriers may be for borrowing money by charities.

The quantitative study report was published in January 2015 and is available to download: Assessment_willingness-Third_Sector

An academic article on this project, which drew on more recent data from Third Sector Trends has also been published:

Chapman, T. (2017) ‘The propensity of third sector organisations to borrow money in the UK’, Policy Studies, 38(2), 185-204.

Professor Tony Chapman

This new study, funded by Institute for Local Governance will conclude with a regional seminar on Japanese inward investment in June 2015.  It is hoped that this will take place at Teikyo University Durham. The study aims to get a better understanding of the ‘journeys’ Japanese companies have made in establishing themselves in the North East. In so doing, the intention is to examine:

• Perceptions of the initial impetus to established plants in the North East, the welcome received by the region, and the subsequent efforts that have been made to embed industrial interactions and employee relationships in economic, political and cultural terms.
• Perceptions about the relationships with other Japanese companies in the region and the degree of direct and indirect economic/business interaction with them and indigenous UK firms inside and outside of the supply chain.
• Assess the potential for improving labour market conditions for young people in the region as employees and assess potential for encouraging enterprising activity amongst young people in the region.
• Consider the contribution Japanese inward investment has made to strengthening social growth in North East England.

Interviews will take place with Japanese firms which are well established in the region together with Hitachi which is building a major new plant in Newton Aycliffe.

As the study is interested in cultural and political factors, it will also examine the extent of social assimilation of Japanese firms into North East England and consider the extent to which the indigenous UK population have capitalised on new opportunities (as partners, sub-contractors, local politicians and economic development strategists, employees and families, friends and neighbours).

Sunderland City Council has commissioned Professor Tony Chapman to undertake a review of policy and practice in the city – looking at how well relationships work between the public sector and the voluntary sector.  The enquiry will involve analysis of existing data sets, including the Northern Rock Foundation Third Sector Trends study, and a series of interviews and focus groups with key people across the city.

The study builds on recent work in Stockton on Tees, County Durham and Northumberland for the Institute for Local Governance and is helping to develop a clear understanding on how best to broker relationships between sectors with similar interests in addressing social problems but different ways of tackling them.

The study was completed in November 2014.

Professor Tony Chapman

‘Involve Yorkshire & Humber’ commissioned a major survey of the third sector in Yorkshire and the Humber in the spring of 2013.  The research was funded by Joseph Rowntree Foundation.  An online survey ran from June to October resulting in responses from over 1000 charities, social enterprises and other voluntary and community sector groups and organisations.

The survey drew upon previous work with Northern Rock Foundation so that comparable data could be produced. Additionally, analysis from an earlier Third Sector Trends study by Professor John Mohan of Southampton University and David Kane from NCVO was extended to bring statistics up to date.

The findings from the study was published in May 2014.  Third Sector Trends in Yorkshire and the Humber May 2014, a summary report is also available: third-sector-trends-2014-in-yorkshire-humber-executive-summary-final.

Northumberland County Council is developing its strategy to support Third Sector organisations over the next three years. As a part of a major consultation process, Professor Tony Chapman was invited to undertake a series of 18 confidential in-depth interviews with key stakeholders in the sector in November 2013. The research follows an earlier commission to make recommendations for the development of infrastructure support in the County in 2010.

Professor Tony Chapman and Emma Dunkerley

Policy & Practice has been co-funded by Cabinet Office and O2/Teléfonica Foundation, via the National Youth Agency to undertake an evaluation of the Government’s Social Action Fund in four English regions. The project, which runs for 18 months, compares the experiences of young people who have recently graduated from the National Citizen Service with other young people who join the programme.

Young people who join the programme create an O2 Think Big project where they gain £300 to spend on their work together with support from youth organisations or O2 mentors. The aim is to find out how to embed commitment to stay involved in social action, especially amongst young people who are new to volunteering.

The final report will be published in December 2013.

Professors Fred Robinson and Tony Chapman

This action research project aims to: encourage social enterprises to assume responsibility, through asset transfer, for community buildings in County Durham; produce an environment which is conducive to the development of social enterprise in the delivery of public services in Northumberland; explore ways of examining the contribution of the third sector to ‘social growth’ in Northumberland; and, improve understanding about the relationship between the public sector and third sector in Northumberland

The project was commissioned by the Institute for Local Governance in collaboration with Durham County Council and Northumberland County Council. The first phase of the research took place in 2012-2013 and has been extended for a further year in County Durham.
A report on the Northumberland project will be published in January 2014.

Professors Tony Chapman and Fred Robinson

This longitudinal study, which begun in 2008, is exploring the impact of social and economic change on the structure and dynamics of the third sector in North East England and Cumbria.

The project is co-directed by Prof Fred Robinson and Prof Tony Chapman at St Chad’s College, with colleagues from Social Futures Institute at Teesside University. The project has already produced many reports, available here.

• Assessment_willingness-Third_Sector
• The-Reality-Check-Final-0613
• NRFTST-organisational-self-appraisal-framework
• The-Crystal-Ball-Finalon-the-money-final
• on-the-money-final
• Walking-a-Tightrope
• NRF-TSTS-Taking-the-temperature-report-September-2012
• Journeys-and-Destinations
• Measuring-Impact-easy-to-say-hard-to-do
• Taking-Stock-Moving-On
• Building-better-boards
• Keeping-the-show-on-the-road-Report
• Forearmed-with-Foresight-Report
• NRF-TST-Report-What-makes-TSO-tick
• Mosaic_Jig_or_Abstract_Report
• NRF-TSTS-Taking-the-temperature-report-September-2012

The project is now in its final phase, running from 2013-2015, including a major survey of the third sector in June 2014 and a third phase of case studies with 50 organisations across North East England and Cumbria.

Professor Tony Chapman

This is a collaborative project working group including, Professor Tomoaki Shibukawa (Tohoku University of Community Service and Science), Dr Tomohito Nakajima (Sanno University) and Professor Tokihiko Takatani (Tohoku Koeki University).

The project is a cross-national study of social enterprise funded, initially, by the Japanese Government from 2007-12. The study is continuing, involving a series of annual visits and collaborative research which aims to explore:

● different ways that social enterprises have been established in their cultural, economic and political context;
● identify how social enterprises produce innovative solutions to encourage the development of sustainable communities.
● how areas which have suffered from significant restructuring adopt different approaches to the development of social enterprise in order to encourage economic regeneration.

As the project evolves, new members have joined the study group and engaged in visits to North East England and Yamagata and the Tokyo metropolitan area of Japan. Findings from the study were recently published in Leary and McCarthy The Routledge Companion to Urban Regeneration 2014.