Fund Dist Manual 2015 17 Final Reduced

United Way of the Mid-Willamette

Valley works collaboratively throughout

Marion, Polk and Yamhill counties to

identify community needs and direct

resources toward Collaborative and

Individual Programs that result in the

most successful, long-term outcomes in:

Education, Financial Stability, Health,

and Basic Needs.

United Way of the Mid-Willamette Valley

2015-2017 Fund Distribution Manual

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Community Impact Council Fund Allocation Manual Approved by BofD 10.22.2014

Community Impact Council Fund Allocation

Manual 2015-2017

Changing the Odds

United Way of the Mid-Willamette Valley works collaboratively throughout Marion, Polk and Yamhill counties to identify community needs and direct resources toward Collaborative and Individual Programs that result in the most successful, long-term outcomes in: Education, Financial Stability, Health, and Basic Needs.

Education Income, Health and Basic Needs

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2015-2017 Community Impact Grant Guidelines

TABLE OF CONTENTS

Introduction ........................................................................................................... 3

Guidelines ........................................................................................................ 3

Purpose ............................................................................................................ 4

Structure .......................................................................................................... 4

United Way Community Impact Fund Distribution Process .................................... 5

Technical Support ........................................................................................ 5

Grant Eligibility and Mandatory Attachments .............................................. 5

Volunteer Funding Panels ...................................................................................... 6

United Way Community Impact Model .................................................................. 7

Fiscal Reporting Policy ............................................................................................ 8

Policy Governing for First and Second Year Funding ............................................... 9

Policy Governing Supplemental Fundraising ........................................................ 10

Policy Funding Restrictions, Suspensions, Termination and/or

Transfer of dollars to another Program/Agency .................................................... 11

Policy on Conflict of Interest and Confidentiality ................................................. 13

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Introduction: United Way of the Mid-Willamette Valley (UWMWV) Mission Statement Connecting the caring power within Marion, Polk and Yamhill counties to improve quality of life and build strong, healthy communities. United Way of the Mid-Willamette Valley Community Impact Mission Statement To improve peoples lives through the investment of community resources. United Way of the Mid-Willamette Valley Community Impact Vision Statement To bring people and resources together to achieve systemic, measurable and lasting improvements in the quality of life of individuals and families in Marion, Polk and Yamhill counties.

United Way of the Mid-Willamette Valley Impact Results Statement United Way of the Mid-Willamette Valley is working to advance the common good by focusing on Education, Income and Health. These are the building blocks for a good life a quality education that leads to a stable job, enough income to support a family through retirement, and good health. Through the strategic investment of resources, United Way of the Mid-Willamette Valley supports children, youth and adults to achieve their potential; promotes financial stability and independence; and improves peoples health and access to preventive basic healthcare services. UWMWV works collaboratively throughout Marion, Polk and Yamhill Counties to identify community needs and direct resources toward Collective Impact Community collaborations and Basic Needs programs that will result in the most successful, long-term outcomes. We strive to improve lives by supporting community-wide initiatives that will effect community wide results and thereby help children, individuals and families thrive. UWMWV is responsible and accountable to its donors, recipients, and volunteers. United Way seeks to fund Collective Impact Community collaborations and Basic Needs programs that demonstrate measurable results; and are fiscally responsible, efficient and effectively managed. It is the responsibility of United Way to ensure funded agencies meet these policies and procedures in the provision of quality human services in Marion, Polk and Yamhill Counties. It is the responsibility of the agency to follow United Ways policies, procedures and funding agreement. Guidelines: This manual is a guide for the Community Impact Council (CIC) Fund Distribution process and organizations interested in applying for funds from UWMWV. It includes, among other items:

An explanation of the funding offered by UWMWV. Policies and procedures related to the application and funding process.

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Purpose: This manual is a guideline for CIC Fund Distribution process. The primary responsibility of United Ways Community Impact Council, through the volunteer citizen review process, to oversee funds are granted to Collective Impact Community collaborations based on the following fundamental principles:

Financial resources will be directed to Collective Impact Community Collaborative projects and Programs providing Basic Needs that fit into at least one of our focus areas and the related priorities identified by the CIC and approved by the United Way Board of Directors.

Collective Impact Community Collaborative projects and Programs providing Basic Needs will be delivered by organizations that fit the criteria established and approved by the United Way Board of Directors.

All applications for UWMWV funding must fall under one of the United Way priority funding areas. Structure: The Community Impact Council (CIC) is charged by the United Way Board of Directors with advising the Board as it sets the direction and focus for dollars in the Community Impact Fund. The CIC is responsible for establishing and implementing a grant application process, making recommendations to the Board regarding funding, and the on-going evaluation of the applicant reports, as well as the process for review of emergency and special funding requests. The CIC evaluates the recommendations of the Volunteer Funding Panels, considering the available grant dollars and factors such as geographic equity, and combines them into a written funding recommendation to the United Way Board of Directors which will make the final funding decision. The CIC speaks through the Community Impact Council Chair, who reports to the United Way Board of Directors. The CIC includes members from Marion, Polk and Yamhill counties. The Volunteer Funding Panels (VFPs) are responsible to review and score applications and submit them to the CIC. The Volunteer Funding Panels are staffed by the Community Engagement & Impact Director and comprised by members of the CIC, United Way Board members, and community volunteers representing the three counties. One or more Health, Income and Education panels are formed depending upon the number of applications received. Each panel identifies a panel chair. The VFPs are responsible for: attending funding panel training, reviewing the program/collaboration applications as well as the report generated by the Audit Resource Team, and attending fund distribution panel meetings. After reviewing the applications, the panels submit their scoring recommendations to the CIC. The Audit Resource Team (ART) will review all grant applications and approved on the basis of good stable, and fiscal responsible organization. The ART will develop processed a report with all the qualify grant applications and submit it to the VFPs. The ART will conduct annual agency financial documentation reviews with regards to United Way certification criteria and policies, noting specific areas of compliance and/or non-compliance. Recommendations on eligibility status will be included in the report forwarded to the Community Impact Council as part of the Fund Distribution process. For information regarding the UWMWV Funding Process, please contact Arturo Vargas, Community Engagement & Impact Director at (503) 363-1651 ext. 311, or [email protected].

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UNITED WAY OF THE MID-WILLAMETTE VALLEY

COMMUNITY IMPACT FUND DISTRIBUTION PROCESS

Technical support:

In the 2015-2017 Community Impact Grant Guidelines is a Grant Process timeline. The timeline includes grant Q&A opportunities available to grant applicants. Applicants must register for the Q&A sessions at [email protected], highly recommends interested agencies to participate in the Q&A sessions offered.

Technical assistance in completing United Ways Community Impact Grant Application is available until the date indicated on the timeline.

Grant Eligibility and Mandatory Attachments:

A Full, completed Applications must be submitted by the date indicated on the timeline; any incomplete or late applications will be ineligible. A completed grant application must include:

Comparative Annual Financial Statement for the last two previous fiscal years or the P&L for your last two fiscal years.

Proof of 501 ( c ) 3 status. Sign the Anti-Terrorism Compliance Measures form Completed grant application, all questions and requirements must be answer and complied.

Required documentation must be submitted at the same time along with all the other documentation. This includes a proposed budget for the Collective Impact Community collaborative, or Program providing Basic Needs.

Collective Impact Community collaborative must include a single Memorandum of Understanding describing, through the Collective Impact frame work, the role and responsibilities of each of the partner agencies.

Applications are initially reviewed by UWMWV staff for completeness.

Applications financials and budget information are reviewed by the Audit Resource Team (ART).

Applications that do not meet initial criteria or documentation requirements will not be reviewed by the Volunteer Funding Panels. Fiscal Agent agency will receive a letter stating their ineligibility.

Qualified applications are sent to the Volunteer Review Panel (VRP) members for review.

Prior to review, panel members are provided with educational information on the Collective Impact approach, their assigned priority area and the application review process.

Review of agency financial information is done by the Audit Resource Team. The report generated is forwarded to the appropriate VRPs.

Each application is reviewed by community volunteers assigned to focus area panels. There may be more than one panel per focus area.

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Volunteer Review Panels (VRPs) Review Process

All VRPs conflicts of interests are disclosed in advance. Funding panel volunteers that have a conflict of interest will be excused from participating in any discussion or vote on the issue presenting the potential conflict (refer to page 14) for United Way Conflict of Interest Policy).

Discussion of program/collaboration application is led by the VRPs chair. VRPs scoring recommendations for programs meeting Basic Needs and Collective Impact

Community Collaborative projects are then forwarded to the Community Impact Council.

Community Impact Council Meeting

Continuation of funding for FY 2015-2017 is contingent upon the success of the United Way Campaign and the programs/collaborations success in meeting proposed outcomes.

CIC will review and compile funding recommendations, which will then be presented by the Community Impact Council to the United Way Board of Directors. The United Way Board of Directors makes final funding decisions.

Agency will be informed of funding decisions by phone and mail by United Way personnel. Interim reports are required to be submitted to United Way by all funded

programs/collaborations. (see page 8 for reporting requirements) Interim reports are then reviewed by United Way staff and the Community Impact

Council. (see page 8 for reporting requirements)

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Collective Impact Community Model: Collaborative Grants

Collective Impact Framework

Government AgenciesCommunity

Organizations

Pre-K

K-12Higher Ed. Business Investors

Common Agenda

Shared Measurements

Mutually Reinforcing Activities

Continuous Communication

Backbone Organization Focus

Area:

Priority

(s)

Collective Impact Framework: Common Agenda, Shared Measurements, Mutually Reinforcing Activities, Continuous Commnication, Backbone Organization

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FISCAL REPORTING POLICY

One of the benefits that UWMWV provides to its supporters, and to the community at large, is the assurance that agencies and programs receiving funds through the allocation process are well managed and efficient. In order to provide that assurance we require that funded partners periodically provide financial reports and documents that substantiate that claim. It is important that our fiscal reporting policy reflect our values of honesty, fairness and openness. In addition it should be detailed enough to enable consistent and equitable implementation. Required financial reports and documentation should be able to be provided at a cost that is reasonable to the submitting agency. REQUIRED FOR ALL AGENCIES REGARDLESS OF BUDGET SIZE:

1. Comparative Annual Financial Statement last two previous fiscal years or the P&L for your last two fiscal years.

2. Proof of 501( c ) 3 status 3. A signed Anti-Terrorism Compliance Measures Form

REQUIRED FOR AGENCIES - BASED ON BUDGET SIZE:

Agencies that have revenue of $100,000-$499,999: Financial review by CPA required every third year

Agencies that have revenue of $500,000-$999,999:

An independent, outside audit required every third year

Agencies that have revenue of $1,000,000 or more: An independent, outside audit required every year.

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POLICY GOVERNING FOR FIRST AND SECOND YEAR FUNDING Reporting:

Annual interim reports will be required for all funded programs meeting Basic Needs. CIC might request agencies to present before the CIC and/or Board of Directors. Pending Agency approvals

Semi-annual interim reports will be required for all funded Collective Impact Community collaborative. CIC might request agencies to present before the CIC and/or Board of Directors. Pending Agency approvals

An explanation of how the dollars were used must be provided (any excess dollars in the program/collaboration budget must be explained).

Programs/collaborations must provide outcome and demographic information in order to receive continued funding.

Site visits may be conducted by United Way staff, Community Impact Council (CIC) members, board members, and/or investment volunteers to ensure compliance, review progress toward identified outcomes (including tracking tools) and evaluate the overall operation of the program/collaboration. Site visits are generally done once a year. United Way staff will schedule site visits with program/collaborations fiscal agent.

Compliance Issues:

UWMWV Fund dollars are not intended to be used as operating reserves. UWMWV Fund dollars may not be transferred from a program/collaboration to an endowment or

foundation.

All UWMWV Fund dollars allocated to a program/collaboration year one are expected to be disbursed by June 30, 2016 and second year by June 30, 2017.

Continuation of funding in the second year is contingent on the success of the annual campaign and the program/collaborations success in meeting proposed outcomes.

Upon review of interim reports, United Way Community Engagement & Impact Director and CIC members may recommend suspending funding if the program/collaboration does not meet minimum United Way reporting requirements. Minimum reporting requirements are outlined above and include:

Reports be submitted on-time (unless an emergency extension is approved in advance) Requested financial documents are provided Programs/collaborations provide an explanation of how UWMWV dollars were used. Programs/collaborations provide outcomes and demographic information. Demonstrate collaboration with partner agencies and coordination of referrals to other

agencies for the betterment of the public and community.

Failure to comply with submitting requested financial and program/collaboration reports will result in all future allocations being withheld unless an emergency extension has been approved in advance. Funds will not be disbursed until all required reports and requests by United Way are submitted and fulfill.

UWMWV supports the local and national efforts to curb diabetes and obesity in children and adults. We strongly recommend that UWMWV Fund dollars may not be used to purchase foods that go again this these efforts. We strongly encourage that you join this effort by learning more about Healthy Eating, Physical Activities and the 5-2-1-0 challenge in your county.

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POLICY GOVERNING SUPPLEMENTAL FUNDRAISING

AND RECOGNITION BY UNITED WAY FUNDED AGENCIES

The intent of these policies is to maximize UWMWV eligible agencies fundraising capabilities while protecting the integrity of the annual Community Giving Campaign. Fundraising:

A. Organizations receiving funds will publicly support United Way of Mid-Willamette Valley. This support will include campaign presentations, when requested by United Way.

B. Employers cooperate with UWMWV by allowing solicitation of employees at the workplace. Therefore, no organization receiving United Way funds shall carry out any similar workplace solicitation program. This does not preclude organizations from participating in occasional, individualized workplace-based fund raising events (e.g. raffles, walk-a-thons, etc.) or volunteer recruitment activities.

C. UWMWV offers a donor designation option to contributors. However, organizations receiving funds from United Way will support the Community Impact Fund and refrain from soliciting designations for any specific organization. United Ways Donor Option Program is a service for contributors, not a fundraising tool for organizations.

Recognition:

A. Organizations receiving funding from UWMWV will be required to display the correct UWMWV logo at the Organizations place of business and at facilities that house United Way-funded programs, as well as the Organizations Web site. Display the UWMWV logo and/or name on print materials, film, audio and electronic transmittals (i.e. letterhead, annual reports, and program brochure, and promotional flyers, facsimile and public announcements). Any and all placement shall be undertaken according to the United Ways branding and style guidelines.

B. Any exceptions to these fundraising/recognition policies and options must be approved by the United Way Board of Directors.

C. UWMWV will recognize all recipients of funds through their ongoing marketing efforts. D. UWMWV will recognize firms and individuals for Community Impact Fund support.

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POLICY ON FUNDING RESTRICTIONS, SUSPENSIONS, TERMINATION AND/OR TRANSFER OF DOLLARS TO

ANOTHER PROGRAM/AGENCY

It is the responsibility of the Community Impact Council and the United Way Community Engagement & Impact Director to present a funding action to the United Way Board of Directors. The United Way Board of Directors is responsible for the approval of funding restrictions, suspensions or termination and/or the transfer of dollars to another program/agency. Loss of Status as a Participating Agency: Failure of any participating agency to comply with such uniform rules, regulations, and standards as set forth by the United Way of the Mid-Willamette Valley, as well as all provisions of any agreement between that participating agency and UWMWV shall result, on a majority vote of the Board, in a revocation of funding. Such revocation will result in cessation of funding effective as of the date so stated in the Boards resolution revoking the designation as a participating agency.

UWMWV Fund dollars are not to be used as operating reserves. All dollars granted by UWMWV to a program/collaboration are expected to be utilized by June 30,

2017. Failure by an agency to comply with submitting requested financial and program reports will result in all future allocations being withheld unless an emergency extension has been approved by the United Way Community Engagement & Impact Director in advance. Funds will not be disbursed until all required reports are submitted. Funds will be automatically terminated if reports are not submitted within 30 days of the advertised report deadline. Funding Termination: The existence of any one or more of the following conditions may be reason for termination or reduction of UWMWV funding. In addition, reimbursement of grant funding received may be required.

Misuse or misappropriations of funds approved by United Way Board of Directors for specific programs/collaborations.

Failure to adhere to the signed funding agreement. Failure of the funded organization to meet fiscal, management and/or service delivery intent

during the grant period. Organizations may also have contingencies placed upon their funding.

Violation of United Ways Grant Contract. Significant reduction in partner organization support from sources other than UWMWV, with the

result that United Ways support is insufficient to maintain the partner organizations viability. However, if replacement funds can be identified within a reasonable, mutually agreed upon time frame, then UWMWV may provide funding based on agreed upon and actually fulfilled contingencies.

Falsification of agency, program/collaboration or funding information. Failure to produce appropriate outcome measurements and results.

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Failure to comply with the Memorandum of Understanding with UWMWV (i.e. reporting requirements, co-branding principles, etc.)

Other reasons as deemed appropriate by the United Way Board of Directors.

Termination recommendations may be made to the United Way Board of Directors by the Community Impact

Council, or Community Engagement & Impact Director on behalf of the United Way Community Impact

Council.

Funding Transfers: In the case of program/collaboration cessation:

Programs/collaborations must contact UWMWV staff prior to submitting funding transfer requests to determine whether or not they meet eligibility criteria.

Funding transfer requests will only be considered if funds remain in the same priority area and the proposed outcome is consistent with that of the original grant award.

If the transfer request meets the above criteria, the program/collaboration must provide the following in writing within 30 days for review:

Reason for the change or transfer An explanation of the elimination or reduction of the program/collaboration A revised program/collaboration budget A revised program/collaboration description A revised logic model, if necessary

The CIC will meet and review the provided information and make a recommendation to the United Way Board of Directors.

Transfer requests are approved at the discretion of the United Way Board of Directors. Funds may be reallocated to ensure continuity of services at the discretion of the United Way Board of

Directors. Suspended funds may also be withheld for the remainder of the current grant cycle and redistributed during the next grant cycle.

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COMMUNITY IMPACT COUNCIL

POLICY ON CONFLICT OF INTEREST AND CONFIDENTIALITY

Conflict of Interest: United Way strives to maintain an allocation process that is fair, responsible, and free of personal bias, which reflects the stewardship role that donors have assigned to United Way of the Mid-Willamette Valley. All volunteers are expected to exercise good faith and prudent judgment in acknowledging and communicating a conflict of interest in any situation involving United Way.

1. All UWMWV volunteers are reminded that only the Board of Directors speaks for UWMWV 2. Community Impact Council volunteers will not serve on a team that reviews programs of an agency on

whose Board of Directors those volunteers serve. 3. An employee of any UWMWV applicant or affiliate agency will not serve on the Community Impact

Council, Fund Distribution Committee, or a citizen review team.

4. Community Impact Council and Fund Distribution Committee volunteers and members of the United Way Board of Directors who serve on the Board of Directors of a funded agency will be asked to leave the room until discussion and voting on any motions regarding the funded agency have been completed.

5. The Community Engagement & Impact Director and the CIC shall be empowered to declare that a

conflict of interest exists if a Community Impact Council or Fund Distribution Committee volunteer serves on the Board of Directors of a funded agency when that agency is directly and materially involved in a discussion having an impact on another agency. The party involved will be asked to leave the room until discussion and voting on any motions regarding the issue.

6. The Chair of the United Way Board of Directors shall be empowered to declare that a conflict of

interest exists if a member of the United Way Board of Directors serves on the Board of Directors of a funded agency when that agency is directly and materially involved in a discussion having an impact on another agency. The party involved will be asked to leave the room until discussion and voting on any motions regarding the issue.

7. Community Impact Council volunteers, including the Fund Distribution Committee, Audit Resource

Team and Citizen Review team, will be asked to sign an annual conflict of interest disclosure statement identifying current memberships on the Boards of community agencies.

CONFIDENTIALITY Agencies submit complete budgets, program and personnel information to UWMWV for allocation review purposes only. This information is considered confidential and volunteers must not share it with others outside the Program Review and Fiscal/Management process. This includes information derived during discussions held at the citizen review team meetings. Community Impact Council and Fund Distribution Committee volunteers are entrusted with this information in order to make informed decisions on program funding. Volunteers are asked not to discuss allocation recommendations with agencies/programs or outside entities.

Documents

Fund Dist Manual 2015 17 Final Reduced