Annual Funding. PROVINCIAL GUIDELINES April 2011

Transcription

1 Annual Funding PROVINCIAL GUIDELINES April 2011

2 TABLE OF CONTENTS I. ANNUAL FUNDING... 3 A. FUNDING OBJECTIVES AND OUTCOMES... 3 B. PURPOSE... 3 C. ELIGIBILITY... 3 D. ELIGIBLE FUNDING LEVELS... 4 E. FINANCIAL PLANNING... 4 F. PERFORMANCE AREA GOALS & ELIGIBLE EXPENDITURES... 5 G. INELIGIBLE EXPENDITURES... 6 H. RETURNS... 6 I. APPLICATION PROCESS... 6 J. EXTENUATING CIRCUMSTANCES... 6 K. FOLLOW-UP PROCESS... 7 L. EVALUATION... 7 M. APPEAL PROCESS FOR SPORT GRANTS... 9 N. PAYMENT PROCEDURES...10 O. SPORT FUNDING COMMITTEE...10 P. THE ANNUAL FUNDING CYCLE...11 APPENDIX A II. ASSESSMENT GUIDELINES & PROCEDURES...14 A. PURPOSE OF THE ANNUAL FUNDING ASSESSMENT...14 B. ASSESSMENT PROCESS TIMELINES...14 C. THE CASE FOR PERFORMANCE ASSESSMENT...14 D. PERFORMANCE ASSESSMENT COMPONENTS...15 E. FUNDING ADJUSTMENTS...15 F. FRAMEWORK FOR THE ASSESSMENT MEETING...17 G. SPORT FUNDING COMMITTEE

3 I. ANNUAL FUNDING A. FUNDING OBJECTIVES AND OUTCOMES Funding Objectives Increase the number of Saskatchewan residents participating in sport initiatives through the growth and development of participation programs and through a reduction in barriers. Provide technically and ethically sound and safe sport programs and content based on Canadian Sport For Life principles and the implementation of formal training and certification programs for coaches and officials. Increase support for the organizational leadership and human resource capacity of organizations within the sport sector. Improve the performance and increase the number of athletes, coaches and officials involved with national and international levels of high performance. To support the fundamental and essential role of the volunteer in the governance and leadership of sport, and delivery of sport activities, programs and services to Saskatchewan citizens. Increase leadership development opportunities and participation levels of First Nations and Métis people in sport initiatives and as qualified coaches and officials. Outcome(s) More sport Inclusive sport Better sport Sustainable sport Better Sport Sustainable sport More sport Inclusive sport B. PURPOSE The Annual Funding grant provides core funding to provincial sport governing bodies (PSGB) and multi-sport organizations (MSO) for development within the following areas: C. ELIGIBILITY 1. Administration 2. Organizational Development (Capacity & Interaction) 3. Athlete/Participant Development (Participation & Excellence) Provincial sport governing bodies and multi-sport organizations currently on the Eligibility List for Saskatchewan Lotteries Trust Fund for Sport, Culture and Recreation as recognized by the Minister responsible for Lotteries are eligible to apply. Organizations will be monitored to ensure they continue to meet Eligibility criteria. 3

4 D. ELIGIBLE FUNDING LEVELS The level of Annual Funding support received by a PSGB/MSO will be communicated annually, one year in advance. Funding levels will be subject to net proceeds from lottery funds. Significant variances in performance or organizational concerns will result in the Sport Funding Committee considering a change in the level of funding. In cases where there is an adverse funding adjustment, the Sport Funding Committee will provide the opportunity to meet to analyze the areas of concern. This will allow the Sport Funding Committee and the organization to understand and confirm organizational strengths and/or weaknesses. E. FINANCIAL PLANNING The Annual Funding grant is designed to allow PSGBs and MSOs to determine their own unique plan and spend Saskatchewan Lotteries Trust dollars in their areas of priority. Organizations will be assessed to ensure a balanced sport development plan is being implemented. As a result of the Annual Funding review in 2010, the minimum and maximum spending requirements were eliminated from the Annual Funding guidelines. The performance area goals and eligible expenditures are outlined in the following chart: 4

5 F. PERFORMANCE AREA GOALS & ELIGIBLE EXPENDITURES ADMINISTRATION CAPACITY/ INTERACTION PARTICIPATION EXCELLENCE GOALS Organizations are supported for the administrative functions required for effective and efficient management of the organization. Capacity - A provincial sport system comprised of individuals, communities, organizations and institutions with financial and material resources and the knowledge and skills to enhance their capacity to support increased participation and excellence. Interaction - The essential components of the sport system that are required to enhance excellence and participation are in place to meet the needs of athletes/participants in an ever changing sport environment. Saskatchewan residents from all segments of society will engage in quality sport programs that will provide opportunities for communities, volunteers and athletes to participate in sport. Create an increased pool of Saskatchewan athletes, coaches, officials and teams who are systematically achieving success at regional, national, and international levels through fair and ethical means. ELIGIBLE EXPENDITURES The following are eligible expenses within this area: Executive Director/Administrator Administrative support staff Relocation, recruitment and selection expenses for administrative staff Office operations expenses including office supplies, phone, photocopying, rent, etc. Insurance Legal Audit Staff travel and sustenance The following are eligible expenses within this area: Planning Leadership/Professional development (Volunteer and/or staff) Delegates to conferences/symposiums/ national meetings Awards & Recognition Hosting Policy Development and Maintenance Communications (newsletters, websites, etc.) Board and Committee meetings including travel and sustenance Provincial Annual General Meeting Promotions/marketing Activities which develop the sport up to and including the provincial level are eligible in this area as follows: Athlete development Introductory programs (i.e. Learn-to programs, public participation opportunities, new club development, equipment, training, facility rentals, travel & sustenance, etc.) Under-represented population initiatives (i.e. programs for Aboriginal people, youth at risk, people with a disability, northern residents, economically disadvantaged, etc.) Competition (i.e. playdowns, local competitions, provincial championships, etc.) Coaching development Provincial Coach/Technical staff salary and/or expenses Volunteer coaching development (i.e. clinics, honorariums, upgrading, technical materials, etc. Officials development Clinics, technical materials, rulebooks, upgrading, etc. Activities which develop the sport beyond the provincial level (i.e. regional, national or international) are eligible in this area as follows:: Athlete development Talent ID Training Competition Athlete Assistance Coaching development Provincial Coach/Technical staff salary and/or expenses Volunteer coaching development (i.e. clinics, honorariums, upgrading, technical materials Officials development Professional upgrading, travel & sustenance, technical materials Sport Medicine & Science Sport psychology, sport medicine, sport therapy, nutrition, biomechanics, exercise physiology, fitness testing. 5

6 G. INELIGIBLE EXPENDITURES Areas not eligible for support from Lottery funding are as follows: Capital Expenditures - no support is available for construction, renovation, or upgrading of facilities. Liquor, socials, banquets, etc. Cash prizes Off the continent travel. Other expenses that the Sport Funding Committee of Saskatchewan Lotteries Trust may deem inappropriate. H. RETURNS Grants are approved with the understanding that funds are to be used for eligible purposes adhering to the Annual Funding policies and guidelines. In the event funds are not used in accordance with the policies and guidelines, they will be required to be returned to Saskatchewan Lotteries Trust Fund. I. APPLICATION PROCESS Eligible PSGBs and MSOs must apply for Annual Funding at the time of their appropriate application deadline (May 15, August 15, October 15, or February 15). Application submissions must be completed online. This application is password protected. The online application consists of the following items: Annual Budget (Summary of Revenues/Expenditures) Planning Document (multi year plan see Appendix A) MAP Policies & Procedures (MAP guidelines online at: NOTE: Late or incomplete grant applications will result in grant payments being withheld. J. EXTENUATING CIRCUMSTANCES Consideration may be given to circumstances that are essential to the development of a provincial sport governing body but cannot be met or are limited through the existing guidelines. The process for requesting an extenuating circumstances review is provided within the application. NOTE: The extenuating circumstance review is not to be used as a request for an increase in Annual Funding. 6

7 K. FOLLOW-UP PROCESS The Annual Funding follow-up must be submitted to Saskatchewan Lotteries Trust Fund within ninety days (90) of an organization's fiscal year end. Follow-up submissions must be completed on-line. The follow-up report is password protected. Follow-up reports must consist of the following items: 1. On-line Follow-up Report Form 2. Completed follow-up columns of the Revenue and Expense summaries of the annual budget pertaining to this fiscal period. 3. An audited financial statement which clearly outlines all grant categories and a schedule of expenditures related to each. 4. A management report from the auditor, if one was provided to your association. 5. A copy of the Annual General Meeting report pertaining to the operations of the fiscal period that coincides with this follow-up. 6. A copy of the Annual General Meeting minutes pertaining to the fiscal period that coincides with this follow-up. Attachments that cannot be uploaded on-line must be submitted by mail or and meet the appropriate follow-up deadline. NOTE: Late or incomplete grant follow-ups will result in grant payments being withheld. Sask Sport Inc. staff liaisons will review and consult with each organization regarding their follow-up report. Sask Sport Inc. may contact organizations for additional information on grant follow-ups if necessary. In addition to the review of the follow-up reports, an Annual Funding assessment will be conducted every three (3) years. Please reference Section II. Assessment Guidelines for information on the assessment process. L. EVALUATION The evaluation of Annual Funding will have an emphasis on the information provided in the follow-up report. An organization will have to demonstrate the ability to achieve the goals and objectives specified in their multi-year plan. 7

8 Evaluation will focus on the following categories and performance indicators: 1. General Standards and Requirements the organization complies with the minimum standards required by the Saskatchewan Lotteries Trust Fund and Sask Sport Inc. to ensure proper accountability. 2. Organizational Development (Enhanced Capacity and Enhanced Interaction) - Whether the organization demonstrates clear direction, leadership and acts strategically to support increased participation and excellence. Enhanced Capacity Performance Indicators: The organization demonstrates good governance and democratic controls The organization is accountable and transparent. The organization has good financial management. The organization has a commitment to multi-year planning. The organization has an appropriate volunteer base and cultivates volunteer development and involvement. The organization pursues essential skill sets as needed for the size and scope of their operations and compensates appropriately based on qualifications. A strong coach development system that supports new coaches and advancing coaches. A strong officials' development system that supports new officials and advancing officials. Enhanced Interaction Performance Indicators: The organization has effective partnerships with other stakeholders and in multiple sectors (education, health, Games, NSO, communities, corporate, etc.). The organization effectively communicates and promotes its programs and services to its membership and the general public through diverse mediums. 3. Athlete/Participant Development (Enhanced Participation and Enhanced Excellence) - Whether the organization successfully grows the number of Saskatchewan residents engaged in organized sport opportunities, and increases the quality of sport programs available from general participation through to success at high performance levels. Enhanced Participation Performance Indicators: More people involved in organized sport for extended periods of their life. Facilitates or demonstrates opportunities for under-represented populations through practices and policies that reduce barriers to participation. Quality skill development programs and competitions that are in alignment with CS4L stages and principles. Aboriginal participation opportunities are fostered and developed. 8

9 Enhanced Excellence Performance Indicators: Overall organizational and technical readiness to foster systematic success at high performance levels. Improved athlete performance results at regional and national competitions. Increased number of athletes representing Canada at an International level. M. APPEAL PROCESS FOR SPORT GRANTS The following appeal process is to be used for all appeals regarding grant approvals and decisions regarding money/grant returns to Sport Section of the Saskatchewan Lotteries Trust Fund. 1. Associations who are dissatisfied with the decision of the Sport Funding Committee (SFC) may appeal the decision to Sask Sport within 30 days after the date of the letter advising of the SFC decision. The appeal shall be in writing and provide detailed reasons of the grounds for appeal. The appeal will only be allowed upon the following grounds: a. misinterpretation of information b. bias c. failure to follow approved policies and procedures d. causes/conditions beyond the control of the association Simple dissatisfaction with a decision is not grounds for an appeal. 2. All appeals will be to an Appeal Sub-Committee of Sask Sport Inc. The Appeal Sub- Committee will be responsible to determine whether the appeal has reasonable grounds to be heard based on points 1 a) to d) above. 3. Within 30 days upon receipt of an appeal, the Past President will convene the Appeal Sub-Committee. As the Chair, the Past President will appoint two members to the Appeal Sub-Committee from the Dispute Resolution Committee who are not standing Board members of Sask Sport Inc. or members of any standing committee involved in the initial funding decision. The Appeal Sub- Committee, in its absolute discretion, may decide the appeal on the basis of the written submission or allow additional oral or written submissions from the association. 4. A decision of the Appeal Sub-Committee is final. 5. The association shall be informed in writing of the Appeal Sub-Committee's decision. 9

10 N. PAYMENT PROCEDURES The Annual Funding grant will be paid in two installments. Associations will receive their first grant payment following the satisfactory approval of their application submission, but no sooner than 30 days prior to the start of their fiscal year. This payment will be based on 50% of their current level. The final Annual Funding payment will be paid out upon satisfactory review and approval of the follow-up report which will be used to determine the total eligible Annual Funding grant. O. SPORT FUNDING COMMITTEE The Sport Funding Committee is responsible to administer grant review processes and adjudicate funding from the Sport Section of the Saskatchewan Lotteries Trust Fund. This Committee is composed of volunteer representatives from the Sask Sport Inc. Board of Directors and from the sport community at-large. The Committee chairperson is recruited from within the Board of Directors and appointed by the Vice President of Trust in collaboration with the Vice President of Sport. This Committee has the responsibility to monitor and enforce accountability and ensure grant requests meet the guidelines and policies of the grant programs. The Committee makes recommendations on funding levels approved and reports to the Trust Committee and Sask Sport Inc. Board. 10

11 P. THE ANNUAL FUNDING CYCLE 1. ANNUAL FUNDING APPLICATION Application received at one of four application dates. Sport applies for funding up to their current eligible amount Represents a balanced plan for provincial development 2. APPLICATION ASSESSMENT Staff conducts initial review to ensure compliance with Annual Funding guidelines Staff liaisons review and consult with PSGB on application Sport Funding Committee evaluates Annual Funding application content (operational plans and programs & services 6. SPORT FUNDING COMMITTEE PSGB notified of follow-up status: - Satisfactory (no change) - Threshold of change - Change in funding level Release of final grant payment for current year 3. SPORT FUNDING COMMITTEE Notification of application status (i.e approval, recommendations, etc.) Funding level confirmed, pending follow-up review of previous years activities Release of first grant payment 5. FOLLOW-UP ASSESSMENT Staff conducts review to ensure compliance with Eligibility requirements Sport Funding Committee evaluation in 3 categories: 1. General Standards and Requirements 2. Organizational Development 3. Athlete/Participant Development Staff liaisons review and consult with PSGB on follow-up report 4. ANNUAL FUNDING FOLLOW-UP (Previous Year) Follow-up reports received within 90 days of fiscal year end PSGB self reports against own plans and activities 11

12 APPENDIX A Multi-Year Planning Document Checklist Planning is an essential component to achieve organizational success. Effective organizations understand where they want to go and how they are going to get there. Clarity of direction results from planning. An organization which thinks and acts strategically is responsive to its environment and able to maximize opportunities. Planning is a continuous process, not an event which happens now and again and then forgotten. If you don t know where you are going, how are you going to get there? As part of the Annual Funding Application process Provincial Sport Organizations must submit a copy of their planning document. The process used to develop the plan and the planning document itself can take many forms. Provincial Sport Organizations are encouraged to utilize a process that works for them. However, to ensure some consistency in the planning documents submitted, the following checklist has been designed. If your organization is addressing these key areas within your plan then it will be considered as an acceptable document. Key components of a successful plan: Values fundamental principles and beliefs that form the foundation of an organization; Vision describes an organizations preferred future state; Mission/Purpose describes your real business or central thrust (what is your reason for being)? Areas of emphasis the key components of your operation that will focus your planning (e.g. Participation, Excellence, Finance and Marketing, Communications, etc.); Goals measurable, action oriented statements of intent about specific areas of emphasis or topics; Action Plan/Operational Plan describes the action steps required to accomplish your goals (what, how, who and when); Evaluation of results a regular evaluation of the plan allows the organization to step back and think about how things have been going, whether the right things have been attempted, and whether there are other things that need to be done. Evaluating the plan accomplishes two tasks: it measures progress by comparing what is to what ought to be ; and it identifies any changes needed based on the current environment. cont d 12

13 Tips for the Operational Plan Keep it realistic; Break down activities into manageable tasks; When assigning responsibilities, be careful not to overload an individual or group within the organization; Spread the timelines out over the full period of the plan; most people have a tendency to plan everything for the first year; When calculating required resources, think about both financial and human costs. Effective Organizations: A Consultants Resource Skills Program for Management Volunteers. 13

14 II. ASSESSMENT GUIDELINES & PROCEDURES A. PURPOSE OF THE ANNUAL FUNDING ASSESSMENT To assess provincial sport organizations eligible to receive Saskatchewan Lotteries Trust Fund funding, in what areas, at what level and under what criteria. B. ASSESSMENT PROCESS TIMELINES Annual Funding assessments will be conducted every three (3) years. This allows for a conclusive trend of performance results between assessment, and a sufficient timeframe to invoke strategic changes to organizational development and athlete/participant development. It will not be practical to adjust funding levels every year. The annual review of an Annual Funding application and follow-up will continue, and will be advantageous to drawing attention to positive outcomes and/or immediate concerns and issues. The next Annual Funding assessment would be held in 2013, and would impact funding levels for the 2014/15 for funding cycle of the Saskatchewan Lotteries Trust Fund. Annual Funding follow-up reporting would be adjusted based on any changes to the performance indicators that would be used for the 2013 assessment (such as performance indicators related to LTAD). Performance assessment summaries would be generated every year through the Annual Funding follow-up report, as this would be an efficient way for sports to identify and track positive or negative trends on a regular basis. C. THE CASE FOR PERFORMANCE ASSESSMENT The benefit of performance assessment is to clearly set out good practices, and it can act as a signal or indicator where growth and improvement is needed so organizations can act strategically for improvement. Benefits include: Improve the practices and increase the effectiveness of organizations. Promote evaluation and transparency within sport sector funding to help maintain membership accountability as well as public trust. Promote existing good practices and build a solid sector of provincial sport organizations. Measure the ability to deliver on public interest priorities regarding the use of lottery funds. Provide a relevant basis for adjudicating adjustments to funding levels. 14

15 D. PERFORMANCE ASSESSMENT COMPONENTS The components for performance assessment will be consistent with the four (4) goal areas of Sask Sport and the planning framework of Annual Funding Capacity, Interaction, Participation and Excellence. 1. Organizational Development (Enhanced Capacity and Enhanced Interaction) - Whether the organization demonstrates clear direction, leadership and acts strategically to support increased participation and excellence. 2. Athlete/Participant Development (Enhanced Participation and Enhanced Excellence) - Whether the organization successfully grows the number of Saskatchewan residents engaged in organized sport opportunities, and increases the quality of sport programs available from general participation through to success at high performance levels. The weighted value of each performance area (goal) is illustrated below. Category Performance Area Weighting (% of overall grade) Organizational Capacity 25% Development Interaction 5% Athlete/Participant Participation 35% Development Excellence 35% Total 100% An assessment tool has been developed to determine an organization s performance grade within the four areas above. Performance indicators are consistent with each Annual Funding performance area. A standardized grading scale will be applied throughout the various components of the assessment questionnaire related to each performance indicator. E. FUNDING ADJUSTMENTS Sask Sport Inc. is committed to honouring the Annual Funding levels previously communicated. This will allow any organizations that may have their funding level adversely adjusted by the assessment sufficient time to make necessary adjustments. Adjustments to Annual Funding will be dependent on the following key factors: 1. An organization s performance grade. 2. The total amount of funds available for distribution through the Annual Funding pool. 3. The overall number of organizations targeted for adjustment. Funding adjustments will be adjudicated by the Sport Funding Committee either as a monetary increase/decrease or as a percentage increase/decrease pending upon situational factors discovered through the assessment. 15

16 It is acknowledged that not all organizations are capable of the same performance grades for obvious reasons such as human resources and financial capacity. Therefore, each sport s individual assessment will factor in an organization s scope of programs and services relative to such factors. Objective information (statistical) as well as subjective information (quality of program and services) evidenced through the previous 3 years of Annual Funding follow-up reports will be the key source for assessing performance. As necessary, additional information or extenuating circumstances may be considered to ensure the performance assessment is as fair and transparent as possible. Objective (statistical) information will be graded based on a grading scale that takes into account the sport s overall percentage (%) change averaged over three (3) fiscal years. This information already resides in Sask Sport s funding database, and will provide relatively clear indication of whether an organization is growing, shrinking or staying approximately the same. Organizations must engage in the completion of an assessment of their own organization and determine a performance grade for the various areas being assessed. Each organization s self-assessment will be the basis for the discussion in a one on one meeting with Sask Sport consultants. This meeting will serve the following beneficial purposes: 1. facilitate better understanding of an organization s strengths, successes and best practices; 2. provide the opportunity to discuss any issues and challenges, and identify proactive opportunities to address or overcome them; 3. Analyze and rationalize areas of significant difference in performance grades with the objective of assisting Sask Sport to determine a fair and appropriate performance grade for the sport. Organizations with the highest performance grades will be given priority consideration for additional funding, while organizations with unsatisfactory performance grades will be flagged for a funding decrease. It is anticipated that the majority of Annual Funding levels to sports will remain consistent. Organizations with a history of recurring or compound issues regarding compliance with regulatory standards will have such issues factored into their performance grade. Such standards include: 1. Late or incomplete grant follow-ups. 2. Non-compliance with Sport Eligibility criteria. 3. Whether the organization has been irresponsible or derelict in governance responsibilities such as fiscal management or other operating controls. A progressive discipline policy is being developed to outline consequences that will stem from historical and re-occurring issues of compliance in the above areas. 16

17 F. FRAMEWORK FOR THE ASSESSMENT MEETING Key information related to the assessment meeting is as follows: Organizations must complete the assessment questionnaire prior to the assessment meeting with Sask Sport. Each organization s self-assessment will be the basis for discussion in the meeting with Sask Sport consultants. The PSGBs must submit their Assessment Questionnaire to Sask Sport a minimum of one week prior to the scheduled assessment meeting. Organizations will be communicated a series of time slots from which they can choose for the assessment meeting with Sask Sport. The time slots will be booked on a first come first served basis. Time slot options will include week-day mornings, afternoons or evenings, as well as Saturday mornings. Face to face assessment meetings are encouraged, but teleconference and video-conference options can also be utilized for convenience and costefficiency, if preferred. It is anticipated that the assessment meeting will take approximately 3 hours to complete. It is recommended that a minimum of 2 people up to a maximum of 5 people be identified from the organization for the assessment meeting, with at least one of these people being a board member. Representation from Sask Sport will include a minimum of 2 people. Recommendations from the assessment will be forwarded to the Sport Funding Committee, who will examine the results in relation to their adjudication responsibilities. G. SPORT FUNDING COMMITTEE The Sport Funding Committee will have the responsibility to oversee a transparent process to review performance measures and develop a performance score for each organization and the final adjudication of funding levels. An appeal process will be in effect to determine if there are grounds for an appeal and arbitrate a final decision regarding a disputed funding level. 17