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Community & Industry Grants Policy & Procedures Manual 1

Community and Industry Grants

Policy

and

Procedures

February 2010

Community & Industry Grants NSW Fair Trading PO Box 972 PARRAMATTA NSW 2124 Fax: 9777 8810 E-mail to: [email protected]


CHAPTER INDEX PAGE TABLE OF CONTENTS 2 - 4 1 INTRODUCTION 5 2 ABOUT THE PROGRAMS 5 2.1 TENANTS ADVICE & ADVOCACY PROGRAM (TAAP)

a) General Background b) Funding c) Direct Services d) Resource Services e) Specialist Services f) Legislation

6-8

2.2 FINANCIAL COUNSELLING SERVICES PROGRAM (FCSP) a) General Background b) Funding c) Legislation

8-9

2.3 AGED-CARE SUPPORTED ACCOMMODATION SERVICE (ACSAS) a) General Background b) Funding c) Legislation

10

2.4 CO OPERATIVE DEVELOPMENT GRANTS PROGRAM (CDGP) a) General Background b) Funding c) Legislation

10-11

2.5 HOME BUILDING ADVOCACY SERVICE PROGRAM (HOBAS) a) General Background b) Funding c) Legislation

11-12

2.6 HOME BUILDING GRANTS PROGRAM (HBGP) a) General Background b) Funding c) Legislation

12

2.7 MOTOR VEHICLE INDUSTRY GRANTS PROGRAM (MVIGP) a) General Background b) Funding c) Legislation

13

2.8 NO INTEREST LOANS SCHEME GRANTS PROGRAM (NILS®) a) General Background b) Funding c) Legislation

13-14


2.9 PROPERTY SERVICES GRANTS PROGRAM (PSGP) a) General Background b) Funding c) Legislation

14-15

2.10 RENTAL BOND BOARD GRANTS PROGRAM (RBB) a) General Background b) Funding c) Legislation

15-16

2.11 AD HOC PROGRAMS a) General Background b) Funding c) Legislation

16

2.12 PILOT PROGRAM - BUILDING CONTRACTOR ADVISORY SERVICE (BCAS) a) General Background b) Funding c) Legislation

16-17

3 PLANNING FOR FUNDING OF THE PROGRAMS 3.1 Timetable for Grants Programs 3.2 Process Cycle Chart

17-20

4 ADVERTISING PROCESS 4.1 Drawing up Advertisement 4.2 Approval of Advertisement 4.3 Performance Review & Business Improvement Branch role in placing of advertisement

21-22

5 APPLICATIONS FOR FUNDING 5.1 Application Kit 5.2 Lodging an Application 5.3 Checklist for Community & Industry Grants Branch

22-23

6 ASSESSMENT STAGE 6.1 Role of Grants Assessment Team 6.2 Preparation for Grants Committee

23-24

7 RECOMMENDATION STAGE 7.1 Role of Grants Committee 7.2 Role of Community & Industry Grants Branch

24-25

8 NOTIFYING SUCCESSFUL AND UNSUCCESSFUL APPLICANTS 8.1 Letters to applicants

25

9 FUNDING AGREEMENTS 25 10 PAYMENTS

10.1 Payment records 10.2 Payment memo’s

25-26

11 REPORTING 11.1 Community Grant program reports 11.2 Industry Grant programs reports

26-28


12 ACCOUNTABILITY 12.1 Obligations 12.2 Complaints 12.3 Risk Management

28-30

13 SPECIAL ISSUES 13.1 Copyright for publications 13.2 Acknowlegement in publications 13.3 Transfer of auspice 13.4 Suspension and Termination

30-31

14 GENERAL 14.1 Cheque presentation 14.2 House Notes 14.3 Estimates 14.4 Financial Counselling Trust Deed 14.5 Trustee’s Appointments 14.6 Finance –CPI & SACS 14.7 Websites 14.8 File Maintenance

31-32

15 APPENDIX 1. Expression of Interest 2. Assessment Sheets 3. Cost Centres & Account Codes 4. Trustee Appointment form 5. Conflict of Interest form 6. How to review Tenants Advice & Advocacy Program reports 7. How to review Financial Counselling Services Program reports

33-47


1. INTRODUCTION NSW Fair Trading (operating within the Department of Services, Technology & Administration) oversees the Tenants’ Advice and Advocacy Program (TAAP).

The Community and Industry Grants Branch within NSW Fair Trading (operating within the Department of Services, Technology & Administration) oversee the Fair Trading grants program. It also provides administrative support to the Financial Counselling Trust Fund, established in 1992 under the Credit (Savings and Transitional) Regulation 1984.

Fair Trading funds ongoing grant programs, and, from time to time, various ad hoc programs. At present, pprogram funding periods are generally triennial (3 years) or up to 12 months. The total funding allocation is approximately 10% of Fair Trading’s annual operating budget.

The two largest programs are the Tenants’ Advice and Advocacy Program and the Financial Counselling Services Program.

Applications for grants can generally be made by non-profit incorporated or registered organisations operating within New South Wales, academic institutions and in specific programs, co-operatives, registered trade unions, government agencies, councils and suitably skilled individuals.

The grant programs contribute to the achievement of Fair Trading’s strategic intent that NSW will be recognised for value and fairness in the marketplace. They also assist the NSW Government to achieve its competition, consumer protection and social justice policy objectives and assist in ensuring that the community has access to information and consumer help.

2. ABOUT THE PROGRAMS Guidelines are published for each funding program that set out the program’s aims and objectives. The guidelines are updated for each funding round. All funded organisations are notified in writing if funding requirements change during the funding period. All the guidelines can be viewed on Fair Trading’s website at the following links: Tenants’ advice and advocacy program Financial counselling services program Aged care rights service Co-operative development grants program Home building advocacy service program Home building grants program Motor vehicle industry grants program No interest loan scheme program (NILS®) – auspice for NSW state coordinator No interest loan scheme program (NILS®) – NSW NILS® services Property services grants program Pilot building contractor advisory service Rental Bond Board grants program A general overview of the grant programs managed by the Community & Industry Grants Branch is as follows:


2.1 TENANTS’ ADVICE & ADVOCACY PROGRAM (TAAP) a) General Background Fair Trading has administered the Tenants’ Advice and Advocacy Program (TAAP) since 1994. TAAP is a statewide program that funds community organisations to provide independent tenancy information for tenants’ advice and advocacy and where appropriate, prospective tenants. Currently, the Program funds the Tenants’ Union as a coordinating body for all TAAP services, an Aboriginal resourcing unit, four generalist Aboriginal services, a specialist Parks and Village Service, an older tenants’ service and sixteen generalist services. Community organisations delivering tenant advice and advocacy services are required to establish and maintain policies and procedures to support the provision of quality service delivery. All organisations must enter into a funding agreement, adhere to the current guidelines and are required to submit certified annual financial statements. The performance of the organisations (in relation to the funding) is subject to evaluation to ensure that the goals of the program are being effectively met. The program places special emphasis on the needs of tenants in designated ‘high risk’ groups, including:

- Aboriginal and Torres Strait Islander people; - people from non-English speaking and culturally -diverse backgrounds; - residents of caravan parks and manufactured home estates; - older people; - people with disabilities; and - people living in supported accommodation.

b) Funding The funding sources for the TAAP are 50% Rental Bond Board Interest Account and 50% Property Services Statutory Interest Account. The TAAP funds both ‘direct’ services and ‘resource’ services. c) Direct Services Direct services assist tenants to understand their rights and responsibilities under relevant legislation, primarily the Residential Tenancies Act 1987 and the Residential Parks Act 1998 and associated regulations. Direct services assist tenants to enforce their rights under the legislation and achieve satisfactory resolution of tenancy problems and disputes through the provision of tenancy information, advice and advocacy. Direct services provide: • Advice to tenants on their rights and responsibilities and on what action can be taken to

resolve tenancy problems. • Written materials on tenancy rights and other documentation such as sample letters to

landlords/real estate agents.


• Advocacy to landlords/real estate agents on behalf of the tenant via phone calls, letters or personal representation.

• Mediation of disputes between tenants and landlords. • Assistance to tenants in the preparation of cases for Consumer, Trader and Tenancy

Tribunal hearings. • Representation of tenants at Consumer, Trader and Tenancy Tribunal hearings. • Referrals to other service providers. • Community education activities. Other services include: • Sixteen generalist services providing assistance to all types of renters. • Four services specifically focused on the needs of Aboriginal renters. Direct services are funded to provide assistance to tenants within defined regions in NSW. d) Resource services Resource services provide expert, specialist support in key areas to assist the direct services to deliver high quality services. A range of organisations are funded to provide these services, which are required to provide equitable access to all direct services throughout NSW. Funded resource services now include: A generalist resource services provides a range of support functions to all direct services, while specialist services under the TAAP include: • Residential Parks Service: provides advice and support to direct services in relation

to residential parks matters. • Residential Parks Legal Officer: provides legal advice and casework support to direct

services in relation to residential park matters, including overseeing complex cases on residential park laws.

• Older Persons’ Service: provides advice and support to direct services assisting older persons, particularly in relation to protected tenancies and casework specifically for older tenants.

• Aboriginal Legal Officer: provides a supplementary service to the legal support resource service and legal advice and casework support to direct services in relation to Aboriginal tenancy matters.

e) Legislation Landlord and Tenant (Rental Bonds) Act 1977 - section 20(4)(c) Section 20 - Rental Bond Interest Account

(4) The Board may make a grant or loan from the Rental Bond Interest Account for the purposes of: (a) a scheme approved by the Minister for the provision of residential

accommodation, (b) research being conducted, with the approval of the Minister, into matters relevant

to the relationship of landlord and tenant, or


(c) other activities approved by the Minister that are relevant to matters associated with the relationship of landlord and tenant, subject to compliance with any conditions imposed by the Minister when giving the approval.

Section 21 Rental advisory services

The Board may with the approval of the Minister and subject to compliance with any conditions imposed by the Minister when giving the approval, provide from the Rental Bond Interest Account money for the establishment or administration of rental advisory services.

Property, Stock and Business Agents Act 2002 – sections187 and 189 187 - Statutory Interest Account

The Director General is to cause to be established and maintained in the accounting records of the Department an account called the Property Services Statutory Interest Account.

189 - The Director General may, with the consent of the Minister, apply money held in the

Statutory Interest Account for all or any of the following purposes: (b) providing grants or loans for providing or undertaking education or research

programs relating to the property services industry (as defined in section 25I of the Fair Trading Act 1987) and approved by the Minister,

(c) providing money for the establishment or administration of rental advisory services,

(f) meeting the costs of operating a scheme or schemes for resolving disputes arising between consumers and providers of property services,

(g) investing in schemes that relate to the provision of residential accommodation or, subject to such terms and conditions as may be prescribed by the regulations, in loans to authorised deposit-taking institutions.

2.2 FINANCIAL COUNSELLING SERVICES PROGRAM (FCSP) a) General Background The Financial Counselling Services Program is made up of two funding programs, being the Financial Counselling Trust Fund Program and the Credit Counselling Program. The program provide grants for the provision of financial counselling, consumer legal casework, training in financial counselling or community education in personal finance, debt and credit management; and central support services for financial counselling services (e.g. helpline services). The Financial Counselling Trust Fund was established in accordance with the regulations under the Credit Act 1984. The Credit Counselling Program was an initiative of the NSW Government.


The list of Trustee’s can be viewed at: G:\FCSP\FCTF\Trustees\FCTF Trustee Payments.xls. The Trust Deed can be viewed on the Fair Trading website at: http://www.legislation.nsw.gov.au/fullhtml/inforce/subordleg+433+1984+FIRST+0+N#sch.8. b) Funding The Financial Counselling Services Program is funded from consolidated revenue, Rental Bond Board Interest Account and investment earnings on Financial Counselling Trust Fund’s principal. For the Financial Counselling Trust Fund 100% funding is from the Financial Counselling Trust Fund. The Fund receives monies from fines levied against credit providers by the Commercial Division of the Consumer, Trader and Tenancy Tribunal (CTTT). Only the interest earned on investment of the principal is utilised by the Fund’s Trustees for provision of grants to financial counselling services. The Credit Counselling Program is funded by the Rental Bond Board Interest Account (70%) and Consolidated Funding (30%). c) Legislation Landlord and Tenant (Rental Bonds) Act 1977 - section 20(4)(c) Section 20 - Rental Bond Interest Account



to the relationship of landlord and tenant, or (c) other activities approved by the Minister that are relevant to matters associated

with the relationship of landlord and tenant, subject to compliance with any conditions imposed by the Minister when giving the approval.

Credit (Savings and Transitional) Regulation 1984

Clause 29 (3)

29 Financial Counselling Trust Fund

(1) The fund, and the scheme for the administration of the fund, established by the trust deed executed on 6 August 1993 by the Minister for Consumer Affairs is established for the receipt of money the subject of a direction under section 86B of the Act.

(2) The terms of the trust deed are set out in Schedule 8. (3) The money in the fund is to be applied for the following purposes: (a) the provision of funding to community based non-profit organisations that operate

in New South Wales to provide financial counselling or train persons in financial counselling,

(b) the provision of funding to non-profit organisations that operate within New South Wales which, or persons who, satisfy the trustees of the fund that they can educate the public of New South Wales in any matter related to the management of personal finances.


2.3 AGED-CARE SUPPORTED ACCOMMODATION SERVICE (ACSAS) a) General Background The Aged Care Supported Accommodation Service provides advocacy, information and education services for residents in supported accommodation across New South Wales, with particular emphasis on people living in retirement villages. People who live in supported accommodation such as nursing homes, hostels, boarding houses and retirement villages are more vulnerable for reasons that include old age, health, physical disabilities, lack of knowledge on their rights, responsibilities and available options to resolve disputes. Funding this type of service assists to improve the quality and standard of living through the provision of information, advocacy and educational programs. b) Funding The funding source for The Aged Care Supported Accommodation Service is 100% from the Rental Bond Board Interest Account and falls under the Rental Bond Board Grants Program. c) Legislation Landlord and Tenant (Rental Bonds) Act 1977 - section 20(4)(c) Section 20 - Rental Bond Interest Account

(4) The Board may make a grant or loan from the Rental Bond Interest Account for the

purposes of: (a) a scheme approved by the Minister for the provision of residential




Section 21 Rental advisory services

The Board may with the approval of the Minister and subject to compliance with any conditions imposed by the Minister when giving the approval, provide from the Rental Bond Interest Account money for the establishment or administration of rental advisory services.

2.4 CO OPERATIVE DEVELOPMENT GRANTS PROGRAM (CDGP) a) General Background The Co-operatives Development Grants Program provides funding for feasibility studies and education and research projects that assist the New South Wales co-operative sector to grow and remain a viable form of delivery for the Government’s economic and social justice policy


objectives. The underlying principles of the Co-operatives Act 1992 are recognised through projects that promote co-operation as an alternate vehicle for economic development, social empowerment, equity and social justice in a competitive environment. Grants of up to 50% of the project cost are available on a dollar for dollar basis to potential and existing co-operatives. More than 50% of the project cost may be funded where it can be demonstrated that the project would be of benefit to the co-operative sector of New South Wales. b) Funding The funding source for the Co-operatives Development Grants Program is entirely from Consolidated Funding. c) Legislation Co-operatives Act 1992 - Part 1, Division 1(3) 3. Objects of this Act The objects of this Act are:

(a) to enable the formation, registration and operation of co-operatives, and (b) to promote co-operative philosophy, principles, practices and objectives, and (c) to protect the interests of co-operatives, their members and the public in the

operations and activities of co-operatives, and (d) to ensure that the directors of co-operatives are accountable for their actions and

decisions to the members of co-operatives, and (e) to encourage and facilitate self-management by co-operatives at all levels, and (f) to encourage the development, integration and strengthening of co-operatives at

local, regional, national and international levels by supporting and fostering State and National peak organisations and co-operative instrumentalities.

2.5 HOME BUILDING ADVOCACY SERVICE PROGRAM (HOBAS) a) General Background The Home Building Advocacy Service is funded to provide legal advice, advocacy services and to assist or represent NSW residential home building consumers before the Consumer, Trader and Tenancy Tribunal. There is a range of information, mediation and advice services already available for home building consumers, but, should a dispute become protracted, some consumers face disadvantage in their capacity to resolve disputes between themselves and their home building contractor. Many consumers cannot afford to engage legal counsel to act on their behalf or provide advice and this can result in an uneven playing field in dispute resolution. HoBAS only provides services to consumers, assisting them to resolve residential building disputes in a cost effective manner. HoBAS targets consumers who have an ongoing dispute with a building contractor despite prior involvement by NSW Fair Trading.


b) Funding The funding source for the Home Building Advocacy Service is 100% from revenue retained by Fair Trading (Home Building levies).

c) Legislation Home Building Act 1989 - section 115 (3) The Director General may make payments towards:

(a) assisting education or research relating to consumer related issues in the building industry, and

(b) encouraging, by subsidy or otherwise, apprenticeship in the building industry and trades subject to licensing under this Act, and

(c) assisting education or research relating to the building industry and trades subject to licensing under this Act, and

(d) assisting any public purpose connected with the building industry and trades subject to licensing under this Act.

2.6 HOME BUILDING GRANTS PROGRAM (HBGP) a) General Background The Home Building Grants Program provides funding for educational, research and other programs or projects which enhance outcomes for consumers of the home building industry’s services through raising consumer awareness and industry standards.

b) Funding The Home Building Grants Program is 100% funded from Consolidated Funding.

c) Legislation Home Building Act 1989 - Section 115 (3) The Director General may make payments towards:

(a) assisting education or research relating to consumer related issues in the building industry, and

(b) encouraging, by subsidy or otherwise, apprenticeship in the building industry and trades subject to licensing under this Act, and

(c) assisting education or research relating to the building industry and trades subject to licensing under this Act, and

(d) assisting any public purpose connected with the building industry and trades subject to licensing under this Act.


2.7 MOTOR VEHICLE INDUSTRY GRANTS PROGRAM (MVRIGP) a) General Background The Motor Vehicle Industry Grants Program provides funding to organisations for education, research and other programs or projects which will assist in maintaining skilled tradespeople; improve industry standards; raise awareness and provide better protection for consumers in relation to the motor vehicle industry. Businesses licensed under the Motor Dealers Act 1974 include motor dealers, auto-dismantlers, wholesalers, parts re-constructors, car market operators and vehicle consultants. The Motor Vehicle Repair Act 1980 licenses automotive electricians, panel beaters, motor mechanics, motor cycle mechanics, vehicle painters, transmission specialists, radiator repairers, natural gas mechanics, brake mechanics, exhaust repairers, front end specialists, liquefied petroleum gas mechanics and body makers.

b) Funding The Motor Vehicle Industry Grants Program is funded by the Motor Vehicle Repair Industry Authority (70%) and from revenue retained by Fair Trading (30%).

c) Legislation Motor Vehicle Section 66

(1) The Education and Research Fund shall consist of: (a) such money as the Treasury may from time to time direct to be allocated to that

fund from the General Fund, (b) all money received by the Authority under section 59 and allocated by the

Authority to the Education and Research Fund, and (c) all investments made by the Authority out of money in the Education and

Research Fund and the proceeds of any such investments. (2) The Authority may, with the approval of the Treasurer, from time to time appropriate

any part of the money in the Education and Research Fund towards: (a) the encouragement of apprenticeship, by way of subsidy or otherwise, in any

trade associated with the motor vehicle repair industry, or (b) the assistance of education or research in, or any public purpose connected with,

repair work or loss assessors’ work.

2.8 NO INTEREST LOAN SCHEME GRANTS PROGRAM (NILS®) a) General Background The No Interest Loan Scheme (NILS®) is a community managed microcredit program providing fee and interest free loans of up to $1,200 to low income earners for the purchase of essential household or medical goods and services. The most common goods for which loans are


provided are washing machines and refrigerators and the most common services are medical or dental services. Some loans are to applicants in communities without public transport, motor vehicle repairs. The Scheme was established in Victoria in 1981 by the Good Shepherd Youth and Family Service. The Good Shepherd’s role has expanded considerably during the intervening years so that it is now the national accreditation body for all Australian NILS® schemes. This accreditation ensures that professional standards are met consistently across the Scheme and community organisations managing a NILS® scheme are well supported. NSW Fair Trading commenced providing funding for wages in October 2008 to enable the scheme to continue to assist NSW consumers in need.

b) Funding The No Interest Loan Scheme funding is from the Rental Bond Board Interest Account (90%) and 10% from Consolidated Funding.

c) Legislation Landlord and Tenant (Rental Bonds) Act 1977 - section 20 - Rental Bond Interest Account





2.9 PROPERTY SERVICES GRANTS PROGRAM (PSGP) a) General Background The Property Services Grants Program provides funding or loans for educational, training and research programs which enhance outcomes for consumers of the property services industry through raising consumer awareness and industry standards. The property services industry includes the business of selling, managing, valuing or otherwise dealing with property (including businesses) that is subject to licensing, registration or regulation under the Property, Stock and Business Agents Act 2002 or the Valuers Act 2003; and the carrying out of conveyancing work as defined by the Conveyancers Licensing Act 2003. b) Funding The Property Services Grants Program funding is 100% from the Property Services Statutory


Interest Account. c) Legislation Property, Stock & Business Agents Act 2002 – section 189 The Director General may, with the consent of the Minister, apply money held in the Statutory Interest Account for all or any of the following purposes:

(b) providing grants or loans for providing or undertaking education or research programs relating to the property services industry (as defined in section 25I of the Fair Trading Act 1987) and approved by the Minister,

(c) providing money for the establishment or administration of rental advisory services,

(f) meeting the costs of operating a scheme or schemes for resolving disputes arising between consumers and providers of property services,

(g) investing in schemes that relate to the provision of residential accommodation or, subject to such terms and conditions as may be prescribed by the regulations, in loans to authorised deposit-taking institutions.

Section 189(2)(b) of the Property, Stock and Business Agents Act 2002 provides that the Director General may, with the consent of the Minister, apply money held in the Property Services Statutory Interest Account established under Part 11 of the Act for the provision of grants or loans towards:

a) assisting education or research relating to consumer awareness in the property services industry;

b) assisting education, training or research into matters that will enhance industry standards within the property services industry.

2.10 RENTAL BOND BOARD GRANTS PROGRAM (RBB) a) General Background The Rental Bond Board was established by the Landlord and Tenant (Rental Bonds) Act 1977 to act as an independent custodian of rental bonds paid by tenants to landlords for residential tenancies. Landlords must lodge tenants’ bond money with NSW Fair Trading. Interest earned from investment of bonds is used to fund rental advisory services and other programs and projects which benefit the residential tenancy sector. Proposals must be for a project which involves one or more of the following:

• a scheme for the provision of residential accommodation for rental purposes; • research into matters relevant to the relationship of landlord and tenant; • other activities relevant to matters associated with the relationship of landlord and

tenant; • establishment and/or administration of rental advisory services.


b) Funding The Rental Bond Board Grants Program funding is 100% from the Rental Bond Board Interest Account. c) Legislation Landlord and Tenant (Rental Bonds) Act 1977 - section 20 - Rental Bond Interest Account





Section 21 of the Act permits the Board, with the approval of the Minister, to provide money from the Rental Bond Interest Account for the establishment and administration of rental advisory services.

2.11 AD-HOC GRANT PROGRAMS a) General Background Ad-Hoc grants programs are for projects that do not fit under other Fair Trading Programs but are eligible for funding under Fair Trading legislation such as the Landlord and Tenant (Rental Bonds) Act 1977 or the Fair Trading Act 1987 for funding of projects that are of benefit to the residential tenancy sector. The grants are usually funded from the Consolidated Fund. Rigorous assessment processes apply, as they do to applications submitted under the established grant programs. b) Funding Funding sources depend on the type of program being established. c) Legislation Similarly, legislation is dependant on the type of program being conducted.

2.12 PILOT BUILDING CONTRACTOR ADVISORY SERVICE GRANT PROGRAM a) General Background


Fair Trading has a major role in providing consumer protection and marketplace regulation. In this regard the Community & Industry Grants Branch monitors and detects trends within NSW to identify possible future grant programs. Where new programs are identified it is appropriate to run a pilot program to test the success and benefits of the program within NSW. The Home Building Advocacy Service Grants Program (HoBAS) was one such program that was originally run as a pilot program in 2006/2008. In 2009, after its success was shown, it became an ongoing program from 2009. The HoBAS only provides services to consumers and it was considered necessary to establish a further pilot to provide services to traders. In 2009, the Building Contractor Advisory Service (BCAS) pilot program was established to provide business advice, including insolvency information, on a confidential basis at no cost to licensed building contractors who operate in NSW. There are some 170,000 licensed building contractors in New South Wales. The contractors consist of builders, swimming pool builders, building consultants, electricians, plumbers, carpenters & joiners, concreters and other trade categories. Many of these contractors are small business owners who are not necessarily members of industry associations upon which they can call upon for assistance and advice. b) Funding Funding sources of pilot programs depends on the type of program being established. The BCAS is funded 100% from Consolidated Funding. c) Legislation Similarly, legislation is dependant on the type of program being conducted. The BCAS pilot comes under the Home Building Act 1989 - s.115 (3) 115 Director General may make payments

(3) The Director General may make payments towards: (a) assisting education or research relating to consumer related issues in the building

industry, and (b) encouraging, by subsidy or otherwise, apprenticeship in the building industry and

trades subject to licensing under this Act, and (c) assisting education or research relating to the building industry and trades subject to

licensing under this Act, and (d) assisting any public purpose connected with the building industry and trades subject

to licensing under this Act.

3. PLANNING FOR FUNDING OF THE PROGRAMS 3.1 Timetable for Grant Programs The Community & Industry Grants Branch endeavours to have consistency where possible for all programs it manages. For this reason, applications for new funding rounds for all programs are called in April to May of the respective programs’ funding year. Programs funding periods can range to up to 12 months or run for 3 years or more. Programs that are 3 years or more include:


• Tenants Advice and Advocacy Service Program, • Aged Care Supported Accommodation Service • Financial Counselling Services Program • No Interest Loans Scheme®, • Home Building Advocacy Service Program.

One year (or less) Programs include:

• Co-operative Development Grants Program • Home Building Grants Program • Motor Vehicle Industry Grants Program • Property Services Grants Program • Rental Bond Board Grants Program • Pilot Building Contractor Advisory Service.

Information on the process involved in calling for applications, assessments, approvals, funding agreements, payment and finance processes are dealt with in more detail later in this document. However, an overview of the process cycle is shown on the following chart.


3.2 COMMUNITY & INDUSTRY GRANTS BRANCH FLOW CHARTS ALL GRANT PROGRAMS APPLICATION PROCESS APPROVAL PROCESS ADMINISTRATION PROCESS REPORTING TIMEFRAMES – Work & Financial Reports

Property Services Grants Budget $0.3M 12 monthly Program

Financial Counselling Services Grants Budget $5.4M Triennium Program

Aged-Care Supported Accommodation Grants Budget $0.387M Triennium Program

Motor Vehicle Repair Industry Grants Budget $0.1M

No Interest Loans Scheme Grants Budget $1.7M Triennium Program

Ad Hoc Grants Program Allocation within RBB budget All year round Program

Rental Bond Board Grants Budget $0.8M All year round Program

Tenants Advice & Advocacy Grants

Budget $8.4M Triennium Program

Cooperative Development Grants Budget $0.1M All year round Program

Home Building Advocacy Services Grants Budget $0.215M 12 monthly Program

Home Building Grants Program Budget $0.3M 12 monthly Program

1st week February Guidelines, Funding

Agreements & Needs Analysis updated

3rd week February Obtain legal advice on

Guidelines & Funding

Agreements

1st week March

Obtain approval to advertise program

3rd week March

Advertise program in papers,

website & CAS

2nd week May Organise Grant Assessment Committee, Date & room

1st week May

Applications close.

April/ May

Register create files &

acknowledge receipt of applications

3rd week May

Finalise registration of applications

last week May

Email electronic copies of

applications & assessments

1st week June

Grant Assessment Committee sits & assesses applications

1st week June Minutes of outcomes prepared and approved by Grants Assessment Committee

1st week June

Prepare Brief, successful

letters for DG/ Minister Approval

2nd week June

Prepare/send Funding

Agreements, covering letters (mail merge)

3rd week June

Prepare Payment

memo’s, data entries in

spreadsheets

3rd week June

Request Finance to pay

1st grant payment

1 July First Grant Payment

electronically transferred by Finance to grant

recipients

Tenants Advice & Advocacy Grants

End 3rd week July,

& Jan End 1st week Aug,

Feb & June 4mnths from end of

financial year

Financial Counselling Services Grants

End 1st week Aug &

Feb 3 months from end of financial year

Aged-Care Supported Accommodation End 3rd week July,

& Jan End 1st week Aug,

Feb & June 4mnths from end of

financial year

Cooperative Development Grants Mid and end of project 2months prior to end of grant period

Motor Vehicle Repair Industry Grants Mid and end of project 2months prior to end of grant period

No Interest Loans Scheme Grants End 3rd week July,

& Jan End 1st week Aug

& Feb 3 or 4months from end of financial

year

Property Services Grants Mid and end of project 2months prior to end of grant period

Rental Bond Board Grants Mid and end of project 2months prior to end of grant period

Ad Hoc Grants Program Mid and end of project 2months prior to end of grant period

Home Building Advocacy Service End 1st week June

& Dec 4mnths from end of

financial year

Home Building Grants Program Mid and end of project 2months prior to end of grant period


*KPI – Key Performance Indicators for new funding period to be determined in line with Fair Trading core objectives.

July - September New Funding Round 1st Payment - 1 July – 28 Feb (8 mths) Existing Funding Rounds • Annual (Audited)

Financial (and I&E) Reports (subject to Corporations Act)

October - December Existing Funding Rounds • Annual (Audited)

Financial (and I&E) Reports (subject to Corporations Act)

• Annual Performance Reports (against KPIs)

April – June New Funding Round • Applications (Apr-May) • Assessments / Approvals

(May) • Funding Agreements

(May-Jun) • *KPIs (May-Jun) • Acceptance by 30 June

January - March New Funding Round • Progress Financial Reports • 2nd Payment – 1 Mar – 30

Jun (4 mths) Existing Funding Rounds • 2nd Payment – 1 Mar - 30

Jun (4 mths)

• Progress Financial Reports • Program/Provider Evaluation

2

3

4

1

3.3 General summary of process


4. ADVERTISING PROCESS 4.1 Drawing up Advertisement The Community & Industry Grants Branch is responsible for coordinating and facilitating the grant programs application process, which includes advertising the programs. Advertisements are placed in the Sydney Morning Herald, Government section of the Telegraph, the Koori Mail and National Indigenous Times, the Community Builders website at www.communitybuilders.nsw.gov.au and on the Fair Trading website at www.fairtrading.nsw.gov.au. Past advertisements for each program are in the G:\ drive under the respective program for that funding period and maybe updated for use in the next funding round. Example advertisement:

ADVERTISEMENT LOGO

CALL FOR APPLICATIONS UNDER THE TENANTS ADVICE AND ADVOCACY PROGRAM The Tenants Advice and Advocacy Program (TAAP) is funded by the NSW Fair Trading through the Rental Bond Board Interest Account and the Property Services Statutory Interest Account. The Program funds 18 direct services, 6 generic resource services and 5 specialist resource services. Of the 18 direct services, 14 provide assistance to all types of tenants and 4 will specifically focus on the needs of Aboriginal tenants. While all community based organisations are welcome to submit an Application to operate an Aboriginal direct service, Fair Trading strongly encourages applications from Aboriginal service providers in order to facilitate access for Aboriginal tenants. Direct services operate in defined regions covering specific Local Government Areas or Statistical Divisions. Direct services provide telephone and face to face advice and advocacy to tenants throughout NSW. Generic resource services provide support to the direct services and the 5 specialist resource services funded under TAAP. The 5 specialist resource services provide support to direct services to enable them to achieve high quality service provision and also, on occasion, work collaboratively with other resource services. Applications are sought from community based organisations based in NSW to operate one (or more) of the 18 direct services; 6 generic services and 5 specialist resource services. Note: Landlord organisations or those representing landlords are not eligible to submit an application. Funding will be provided for a three-year period commencing 1 July 20##. Specific information relating to the operation of these services is contained in the TAAP Guidelines. Application packages are available; on line at: www.fairtrading.nsw.gov.au, or by contacting the Community & Industry Grants Branch on 9619-8715 or e-mail to [email protected] APPLICATIONS CLOSE DATE Applications should be sent to: The Manager Community & Industry Grants Branch NSW Fair Trading PO Box 972 PARRAMATTA NSW 2124

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4.2 Approval of Advertisement The Community & Industry Grants Branch is responsible to update grant program guidelines, application forms and funding agreements and at times, obtain a legal opinion on these from Fair Trading’s Legal Branch. Once finalised, a brief is to be prepared that includes the advertisement and funding guidelines, seeking appropriate approval from executive personnel and Director General to advertise the grants program.

4.3 Education & Information's role in placing of advertisement Education and Information Services (EIS) in Customer & Property Services is responsible for booking advertisements for grant programs in the Sydney Morning Herald, Government Noticeboard Section of the Telegraph, the Koori Mail and National Indigenous Times. There are deadlines for when the advertisements have to be received by Education and Information Services. The advertisements appear on Wednesdays in major dailies, every 2nd Wednesday for the Koori Mail and every 2nd Thursday for the National Indigenous Times. At least 1 week’s notice is required prior to the date the advertisement is to be placed in the respective newspapers.

4.4 Performance Review & Business Improvement’s role in Fair Trading website updates. The Performance Review & Business Improvement (PRBI) branch is requested to place information about the calling of applications for grant programs in “What’s New” on the Fair Trading website and also to place updated guidelines and application forms on the web site for prospective applicants use.

5. APPLICATIONS FOR FUNDING 5.1 Application Kit The Community & Industry Grants Branch is responsible for preparing application kits and providing kits to prospective grant applicants. The kit contains useful information on the particular program, when applications open and close, a copy of the program’s funding guidelines and application form or details of information to be included in an expression of interest. Information kits are sent to existing grant recipients once approval has been received to advertise the program. Application kits are also made available on the Fair Trading website www.fairtrading.nsw.gov.au . While at this time there is no automatic re-funding of grant recipients the Community & Industry Grants Branch is exploring ways in which to introduce a performance based funding contract renewal process.

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5.2 Lodging an Application Applications for all programs are available on the Fair Trading website at the following links: Tenants’ advice and advocacy program Financial counselling services program Aged care rights service Co-operative development grants program Home building advocacy service program (HoBAS) - see appendix 1 at the page 33 Home building grants program Motor vehicle industry grants program No interest loan scheme program (NILS®) – auspice for NSW state coordinator No interest loan scheme program (NILS®) – NSW NILS® services Property services grants program Pilot building contractor advisory service Rental Bond Board grants program

The application form is to be completed and submitted with the requested documents. Documentation varies with the respective grant program and may require the last two audits, most recent annual report, budget, workplan, budget for the proposed project and detailed timeline for the proposed project. The Community & Industry Grants Branch has registered files created for each application received that identifies the applicant and the grant program. When necessary, additional file parts will be created. 5.3 Checklist for Community & Industry Grants Branch The Community & Industry Grants Branch keeps a spreadsheet for all applications received and will do a basic check to ensure the application falls within the selection criteria and that the required documentation has been provided.

6. ASSESSMENT STAGE 6.1 Role of Grants Assessment Team Community & Industry Grants is responsible for the overall coordination and facilitation of the assessments of all grant programs applications. This involves ensuring that all applicants are eligible under the program and all required documentation has been provided. The Branch updates the Programs Needs Analysis (statistical information collected identifying high needs areas under each program) and conducts a preliminary summary assessment using the grant programs assessment sheet that aligns with the individual grants programs. Copies of the assessment sheets are in Appendix 2. The assessment of applications is based on how viable the applications appear, working knowledge of each service or organisation using the master assessment form based on the funding application criteria and program guidelines. Each applicant is ranked, which acts as a guide to assist the Grants Assessment Committee in making well-reasoned recommendations.

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6.2 Preparation for Grants Assessment Committee The Community & Industry Grants Branch organises suitable dates and committee members to sit on the Grants Assessment Committee for each individual program. Committee members are to be from Fair Trading executive level and have relevant expertise in that grant programs field i.e. for applications under the Home Building Grants Program the committee member must have knowledge of the Home Building legislation and be familiar with the current trends and difficulties being experienced in the home building by consumers and traders of NSW. The Grants Assessment Committee generally consists of at least 4 members. Directors are sourced using the latest organisational chart, and, where, required, external members with expertise in the particular industry or community field. A quorum of Trustees is required to sit on the Grants Assessment Committee for the Financial Counselling Grants Program. A quorum is made up of a majority of Trustees. There are currently 5 trustees, so at least 3 Trustees must be present. The Community & Industry Grants Branch is also responsible to organise payments of Trustees and indemnity insurance (see G:\FCSP\FCTF\Trustees\Insurance) and annual reporting on the Trust by the Chairperson to the Minister. Contact details for the Trustees are available at G:/FCSP/FCTF/Trustees/FCTFTrusteespayments.xls. The Community & Industry Grants Branch also is responsible for providing the committee members with copies of application, guidelines, other relevant data such as current statistical data of Local Government Area’s (LGA) from the Australian Bureau of Statistics, as well as the completed preliminary assessment and summary on each application received. The Grants Assessment Committee is facilitated by the Manager, Community & Industry Grants and can be conducted in person, or where suitable, in writing or by telephone conference.

7. PROCESS FOR RECOMMENDATION 7.1 Role of Grants Assessment Committee The role of each Committee member is to act as an independent party to assess the validity and applicability of each grant application and make appropriate decisions and recommendations. Decisions should be based on a consensus about application the Committee believes will best fit the purpose of the grant program and funds available. All applications are assessed against the aims and objectives of the respective Grants Program, the selection and eligibility criteria and the Program’s priorities as set out in the Programs Guidelines. Recommendations will then be made through the Director General to seek the approval of the Minister for Fair Trading. Rental Bond Board Grants applications also require approval from the Rental Bond Board, which sits at least once in each quarter. Once the Minister approves the Committee’s recommendations for a Rental Bond Board grant, the recommendations and applications are referred to the Rental Bond Board for consideration and approval of funding.

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All Committee members are required to complete the “Disclosure of personal relationships and/or prior knowledge of applicants” form (see appendix 4). Grant Applicants will be informed in writing of the decision regarding their application.

7.2 Role of Community & Industry Grants Branch Following its initial role in preparing matters for Committee meetings, Community & Industry Grants also provides the Committee with additional information about applicants, if needed. In the recommendation stage, Community & Industry Grants is also responsible for minuting the recommendations made at meetings. A summary table of the Committee’s decisions should be sent out to all Committee members prior to preparing recommendations to the Minister.

8. NOTIFYING SUCCESSFUL AND UNSUCCESSFUL APPLICANTS Once the final decisions regarding successful and unsuccessful grant applications have been made by the Minister, applicants are notified in writing of the outcome. Letters to successful applicants are sent under signature of the Minister. The Community & Industry Grants Branch prepares and sends letters to unsuccessful applicants informing them of the outcome. Unsuccessful applicants might contact the Community & Industry Grants Branch, in writing or by telephone, seeking feedback on their application and the reasons for their application being declined.

9. FUNDING AGREEMENTS Funding Agreements set out contractual obligations of both the grant recipient and Fair Trading, including provision of the grant, complaint and dispute resolution procedures, reporting requirements, budget and payment schedule. Once successful grant applicants have been notified, the Community & Industry Grants Branch prepares and sends out the Funding Agreement, a covering letter setting out the approved grant amount, funding grant period and other relevant information pertaining to the offer of the grant. Forms to be sent with the Funding Agreement are the “Bank account details request form, “recipient created tax invoice” form and checklist sheet for use by the grant recipient.

10. PAYMENTS The Community & Industry Grants Branch is responsible to process and organise payments to grant recipients. The first payment is made after the funding agreement has been entered into between Fair Trading and the grant recipient. For community grants first payments are generally made on 1 July, 28 February and 30 June. For industry grants there are generally two instalments. The first payment is made once the funding agreement has been entered into and the final payment is made once a satisfactory final report/product has been provided to the Community & Industry Grants Branch.

10.1 Payment Records

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Once the funding agreement is returned the community & industry grants branch arranges payment of the first installment to the grant recipient as agreed in the funding agreement. Prior to arranging payment it is necessary to establish whether the payee has a vendor number. There are three ways to check:

– The existing information. Most programs have an excel sheet detailing when payments have been made. These tables contain account details and the vendor number.

– Previous payment memos. The payment memo will contain the vendor number and account details.

– Check with Finance. Finance will check the SAP system and advise if the payee has a vendor number.

If the payee is new, or if they haven’t received a payment for some time (finance sometimes deletes older vendors), then an “urgent sap vendor creation” form must be submitted. This can be found on the fair trading intranet. This form is to be faxed to finance who process and create a vendor number. Note: the payees account details must be provided on letterhead with a signature for a vendor number to be issued.

10.2 Payment Memos Payment memos are processed in the g:/ drive of the individual program’s Excel spreadsheet. The spreadsheet information must be kept updated and amounts checked prior to generating a payment memo. It is also important to ensure that the account code, cost centre and company numbers relate to the program under which payment is to be made. This can be found at g:\funding\admin\fpb cost centre & account codes 2009.doc (see appendix 3). Once the data are correctly entered in the payment schedule tab of the programs spreadsheet the payment memo can be automatically printed using the “generate payment memo” macro button. Payment memos are to be forwarded by facsimile, or a scanned copy emailed to finance. A copy must be placed in grant recipient’s file. A copy of the signature page of the funding agreement is to be provided with payment memos when it is the first payment to be made for the grant program.

11. REPORTING All Funding Agreements for each grant program set out the requirements for providing work statistics and financial reports. Grant recipients must use the reporting templates available from the Community & Industry Grants Branch. Reporting templates are on the G:\drive in the respective grant program folder. Copies of templates are also in G:\funding\policy and procedures\policy & procedures 2009\forms. The reports assist Fair Trading to monitor recipients’ activities to ensure that grants are being used for their intended purposes and that projects/services are meeting the objectives of the program. Reporting varies for Community & Industry grants. See Appendix 6 & 7 for types of things to look for when reviewing reports under the Tenants Advice & Advocacy Program and Financial Counselling Services Program.

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11.1 Community Grant programs Community grants progams include:

– Tenants Advice and Advocacy Program – Aged-Care Supported Accommodation Program – No Interest Loan Scheme Program (NILS®) – Auspice for NSW State Coordinator – No Interest Loan Scheme Program (NILS®) – NSW NILS® Services – Financial Counselling Services Program – Home Building Advocacy Service Program

Budgets and work plans which set out how the program objectives will be met are submitted initially with the application and then annually by the end of the first week in June during the funding period. Progress reports indicate the outcomes achieved against the goals set in work plans. Income and expenditure reports are generally required to be submitted by the end of the first week of February (covering 1 July to 31 December in the previous year), and the end of the first week in August (covering 1 January to 30 June in the current year). For HOBAS, progress reports are required to be submitted in June and December. Grants recipients are also required to provide discrete certified audited financial statements for the grant within three months (four months for TAAP, Aged-Care and HOBAS) of the end of the financial year (if a corporation registered under an Act other than the Corporations Act 2001) or within five months of the end of the financial year (if a company registered under the Corporations Act 2001). The exception is where discrete audited financial statements are provided within three months (or four months for TAAP, Aged-Care and HOBAS) of the end of the financial year, the organisation is not required to provide a financial statement of income and expenditure for the period from 1 January to 30 June in the current year. In addition for specific grant programs, there are other reporting requirements: • TAAP services are required to provide statistical data on clients of the funded resource

service by the end of the third week of January and July each year relating to the preceding six month reporting periods of July-December and January-June respectively.

• Resource services are required to supply six monthly statistical information reports to the

Community & Industry Grants Branch in February and August of each year. • The six-monthly progress reports for TAAP services are also to include the average

number of hours per week spent over the six month period on the achievement of each operational objective, for example, the average number of hours per week spent in providing telephone advice.

• TARS must also include statistical data on client contacts in their reports.

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11.2 Industry Grants programs include:

– Co-operative Development Grants Program – Home Building Grants Program – Motor Vehicle Industry Grants Program – Property Services Grants Program – Home Building Contractor Advisory Service Pilot Program – Rental Bond Board Grants Program

Industry Grant recipients are required to provide a project progress report half-way through the funding period. Rental Bond Board Grant Program payments are in three instalments and grant recipients must provide progress reports before the second and third payment will be made. A final work and financial report is required once the project has been completed. The work report provides information on the outcomes of the project. The final payment will only be made once these reports have been provided and are considered satisfactory by the Community & Industry Grants Branch. Grants of $30,000 or more are also required to provide an audited financial statement within two calendar months of the end of the grant funding period.

12. ACCOUNTABILITY 12.1 Obligations Fair Trading is responsible for ensuring that government funds are appropriately accounted for, both in terms of effectiveness of outcome and financial management. For this reason, any individual or organisation receiving a grant is required to accept certain conditions generally relating to how the money should be spent and how the grant recipient will report. Accountability throughout the funding period is fundamental to ensure that grant recipients are providing the service or project that they originally received the grant for and are not using the funds for other purposes than those originally specified in the application and agreement. The Community & Industry Grants Branch ensures that grant recipients comply with their reporting obligations. On receipt of the reports data is reviewed, assessed and entered in the respective grant programs spreadsheet and an assessment report printed for review by Manager, Community & Industry Grants Branch. Where discrepancies are detected the organisation is required to provide further information and clarification to the Branch. The Community & Industry Grants Branch provides written feedback to the funded services on their reports and follows up unsatisfactory performance standards. If unsatisfactory performance standards issues have not been satisfactorily addressed appropriate action is taken, in line with the funding agreement. Failure to continue to meet the program’s eligibility criteria or to meet any aspect of the funding agreement or financial accountability requirements may lead to withdrawal of the grant. In such

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cases, the funded body will be advised and consulted prior to any action being taken. No further funding will be provided. On satisfactory reports being provided by organisations, the Community & Industry Grants Branch is responsible to ensure timely payment of next payment of grant funds into organisations nominated financial account.

12.2 Complaints The Community & Industry Grants Branch deal’s with complaints from the public or from internal sources of an organisation that receives NSW grant funding. The funding agreements set out the appropriate action that must be taken by both the organisation and Fair Trading. Complaints about staff members of an organisation are referred to the organisation for appropriate action as staffing issues are the responsibility of the individual organisation. Where the complaints deals with possible misappropriation of funds or failure to provide the service or project that the funding was provided for, the Community & Industry Grants Branch will determine the best course of action available. This may include visiting the organisation involved to discuss issues and implement appropriate strategies, or arranging for the organisation’s books and accounting records to be independantly audited and reported on.

12.3 Risk Mangement Community & Industry Grants Branch aims to manage risk in accordance with the New South Wales Public Sector policy & standards. Risk management is an iterative process of continuous improvement that is best embedded into existing practices or business processes. The main elements of the Community & Industry Grants risk management process are: 1. Communicate and consult: Liaise with internal and external stakeholders as appropriate

at each stage of the risk management process and concerning the process as a whole.

2. Establish the context: Define the basic parameters within which risks must be managed and set the scope for the rest of the risk management process.

3. Identify risks: This step seeks to identify the risks to be managed.

4. Analyse risks: Identify and evaluate existing controls. Determine consequences and likelihood and hence the level of risk. This analysis should consider the range of potential consequences and how these could occur.

5. Evaluate risks: Compare estimated levels of risk against pre-established criteria and

consider the balance between potential benefits and adverse outcomes. This enables decisions to be made about the extent and nature of treatments required and about priorities.

6. Treat risks: Develop and implement specific cost-effective strategies and action plans for

increasing potential benefits and reducing potential costs. Allocate responsibilities to those best placed to address the risk and agree on target date for action.

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7. Document, monitor and review: Each stage of the risk management process must be documented. It is necessary to monitor the effectiveness of the risk management process. This is important for continuous improvement. Risks and the effectiveness of treatment measures need to be monitored to ensure changing circumstances are taken into consideration.

Regular reviews of each funding program are undertaken to ensure compliance. Where necessary relevant documents and records are requested for review by the Manager. In some cases the services of an internal or forensic auditor are engaged, through the Department’s Legal & Governance Division, Audit Branch and Fair Trading’s Legal Division who will instruct Community & Industry Grants Branch on the appropriate action.

13. SPECIAL ISSUES 13.1 Copyright for Publications Conditions can be imposed by Fair Trading to claim copyright ownership over products developed using grant monies. In these cases, successful applicants are to be advised of Fair Trading’s claim on ownership when they are informed of the funding approval for their project.

13.2 Acknowledgement in Publications Any publicity/publications developed and to be published by a grant recipient must acknowledge the support of Fair Trading (if the Director General is the Funding Party) or the Trustees (if the Trustees are the Funding Party). Prior to such publications or publicity a copy must be provided to the Community & Industry Grants Branch at least seven days prior to intended publication, for Fair Trading’s approval (as appropriate).

13.3 Transfer of Auspice The Community & Industry Grants Branch plays an integral role when there is a need to transfer an auspice to alternate or new premises, or to arrange for the whole or partial service to be provided by a new organisation. This maybe brought about for any of a number of reasons that may include sale of building or termination of lease, expansion of service, withdrawal of the auspicing organisation or mismanagement of service. The Community & Industry Grants Branch together with the Service involved and assistance from the resource service will explore and source suitable alternate accommodation or organise for an interim or permanent transfer of the auspiced services. It is the Branch’s responsibility to keep the Minister informed of new developments and changes relating to transfers of any auspice.

13.4 Suspension and Termination

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The funding agreements set out the contractual obligations of both Fair Trading and the grant recipient. It also sets out the provisions relating to withdrawal of grant monies, suspension and termination of service. Reasons for this may include breach of agreement; not carrying out the work diligently and competently; using the grant or part of the grant for purposes other than those for which the grant is made; that an audited financial statement for any part of the grant is not satisfactory; or going into liquidation or administration. In these circumstances, the Community & Industry Grants Branch manages the recovery of grants, suspension and terminations and provides the required written notices specified under the agreement. Where appropriate the Branch will organise the appropriate legal action to be instigated.

14. GENERAL The Community & Industry Grants Branch is also involved in other functions relating to the Grant Programs it manages.

14.1 Cheque Presentation The Minister maybe involved with presenting funded organisations with a cheque for grant monies. The cheque presentation may occur at Parliament House or at the funded organisation’s premises. The Community & Industry Grants Branch is responsible for organising a mock cheque to be created by Education & Information Services. The Branch is also responsible to provide background information and speech notes for the Minister and provide support to the Minister on the day of the event.

14.2 House Notes The Community & Industry Grants Branch is responsible to attend to Questions on Notice, Dorothy Dixers and regularly update House Notes on all grant programs administered by Fair Trading. Ministerial and Executive Services – Fair Trading generally coordinates these. They can be accessed on the I:\drive. Link to Fair Trading Services House notes: I:\Parliament\Housenotes\2009 Spring Session\Fair Trading Services.

14.3 Estimates The Community & Industry Grants Branch is responsible to update all grant programs information for the Estimates Folders annually. These are found at G:\Estimates.

14.4 Financial Counselling Trust Deed The Trust Fund was established under a Trust Deed dated 6 August 1993, in Schedule 8 of the Credit (Savings and Transitional) Regulation 1984 under the Credit Act 1984. Although the Trust Fund is an independent Trust, the administration of its grants is the responsibility of Fair Trading. The Trust Deed requires there to be at least five Trustees. Two Trustees must have knowledge of the interests of credit providers; two Trustees must have the knowledge of

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interests of consumers; one Trustee must represent the Minister; and where there are more than five Trustees appointed, a balance is to be maintained between the two streams.

14.5 Trustees appointments At the expiration of a Trustee’s term or on a vacancy occurring, the Community & Industry Grants Branch is responsible to arrange appointments. Information is contained on the registered File 99/9789 – Appointment of Trustees or G:\FCSP\FCTF\Trustees.

14.6 Finance –CPI & SACS The Community & Industry Grants Branch is also responsible to keep abreast of and follow up all changes to Consumer Price Index (CPI) and Social And Community Services (SACS) awards. On establishing changes, it is necessary to update the spreadsheets for new grant payment amounts (where necessary organise back payments) to all Fair Trading community programs.

14.7 Websites The Community & Industry Grants Branch is responsible to organise updates of Fair Trading Grant Programs on the Community Builders website. It should be noted that administration rights have been given to the Community & Industry Grants Branch to make changes direct on the website to be released live once the Community Builders website administrator has given approval. Any difficulties should be discussed with Community Builders on 9716 2846. Changes to the Fair Trading website are also required and are arranged through the Performance Review & Business Improvement Branch. The Community & Industry Grants Branch from time to time organises for information on grant program matters to be placed on Fair Trading’s CAS data base.

14.8 File maintenance The Community & Industry Grants Branch is responsible to create registered files for all grant program matters. This includes creation of IDFTs & MOs for Ministerial matters. The Community & Industry Grants Branch have filing cabinets to store current grant program files. An index of grant files is maintained and is saved in G:\Filing Cabinets. The index is attached to the respective filing for each grant program. In addition, when required, the Community & Industry Grants Branch organises for grant files to be archived at the Government repository. Information on archiving of files can be found on the intranet or contact maybe made with Information Services (9372 8090).

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15. APPENDIXES

Appendix No. 1 Expression of Interest HOME BUILDING ADVOCACY

SERVICE

SUBMITTING AN EXPRESSION OF INTEREST FOR HOME BUILDING ADVOCACY SERVICE

ESSENTIAL INFORMATION

____________________________________________ 1. INTRODUCTION This document provides information on the requirements for submitting an Expression of Interest to operate a Home Building Advocacy Service (HoBAS).

In terms of accountability for public funds and compliance with the requirements of a funding agreement, the service will be overseen by the NSW Fair Trading. However, the day to day delivery of the service will be the responsibility of the successful applicant. The HoBAS Guidelines provide a description of the intended operational framework of the service, including budgetary processes and reporting requirements. Organisations interested in submitting an Expression of Interest for the operation of the service should read this document in conjunction with the HoBAS Guidelines.

1.1 Eligibility Criteria To be eligible to apply for funding to operate the HoBAS an organisation must: • be financially viable and incorporated or registered in NSW; • be consumer focused with a demonstrated track record in managing effective service

delivery to the general public; • be prepared to operate the HoBAS on a ‘not for profit’ basis – this does not preclude profit

making organisations from applying, providing they are prepared to operate the HoBAS on a ‘not for profit’ basis;

• be able to demonstrate a proven track record in effective staff, financial and organisational management;

• already have access to or be able to satisfactorily demonstrate how it will access the essential expertise areas of: � law, with particular reference to home building legislation; � experience of working in or with the home building industry; � dispute resolution experience. Access to sound clerical and administrative experience is also required;

• be independent of government; and • be committed to principles of effective dispute resolution

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It should be noted that a joint expression of interest from two or more organisations wishing to pool their expertise is welcomed. 2. COMPLIANCE It will be a condition of funding that the organisation(s) funded to operate the HoBAS will comply with all provisions of the HoBAS Guidelines. The approved applicant(s) must enter into a funding agreement which requires compliance with the Guidelines. A breach of the Guidelines will represent a breach of the funding agreement.

3. TERM OF FUNDING AGREEMENT The funding agreement for the service will be for 3 year funding period. 4. EXPRESSION OF INTEREST REQUIREMENTS Applicants must comply with the 5 requirements appearing below. The requirements are individually explained in detail in the next section.

4.1 Provide a brief history of the applicant organisation(s); 4.2 Provide evidence of the capacity of the organisation to manage the HoBAS in

compliance with Guidelines; 4.3 Provide a draft workplan / timetable for development and delivery of the service using the

template provided as a guide (Appendix 1). 4.4 Submit a detailed budget using the template provided (Appendix 2); 4.5 Provide identified additional information. 5. ADDITIONAL NOTES TO ABOVE REQUIREMENTS 5.1 Provide a brief history of their organisation(s)

This should include background on the reasons for the establishment of the organisation(s); the date of the organisation’s incorporation; its growth history; and details of any current and past operational affiliations with other organisations.

5.2 Provide evidence of the capacity of their organisation to manage the HoBAS in compliance with the Guidelines Applicants must: • Describe their experience in delivering effective, customer focused services; • Provide copies of any customer service and management policies and protocols their

organisation currently has in place, including complaints handling policies, casework protocols (if they currently exist), access and equity policies (if they currently exist);

• Describe the current organisational structure; • Outline the proposed staffing structure for the service and give details of the planned

numbers and respective roles of service personnel, specifying the expertise and experience which will be brought to / sought for each of the roles;

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• Describe how the organisation’s experience and expertise will enable it to effectively operate the and do so within the Guidelines; and

• Provide details of their proposed representation guidelines for hearings at the Consumer, Trader and Tenancy Tribunal.

5.3 Provide a draft workplan / timetable for development and delivery of the service Applicants should use the template at Appendix 1 as a guide in the preparation of their workplan. The areas covered by the template match the expected service areas discussed in the HoBAS Guidelines. Organisations will need to expand on these by identifying the various proposed strategies which they will implement to achieve these aims. Some examples of strategies which could be included in a workplan might be to: • contact builders to organise meetings on-site to establish nature and scope of the issues

in dispute; • hold casework meetings to devise strategies for dealing with more complex home building

disputes; • hold meetings with consumers to provide them with advice on the presentation of evidence

in a Consumer, Trader and Tenancy Tribunal hearing to which they are a party. Most timeframes in relation to the service’s workplan will be Ongoing or As Required, but, where applicable, time targets should be included as evidence of a proactive, rather than a reactive approach to service management. For example, weekly could be included in relation to casework meetings. Maximum time allocations (x times per dispute) for strategies such as conduct on-site visits to attempt dispute resolution could also be included, if considered appropriate. With respect to performance measures, applicants are encouraged to provide rough estimate targets for client numbers for each service type they include in the workplan. For ease of use, the workplan template can be e-mailed to applicants on request to Fair Trading’s Community & Industry Grants Branch – telephone 9619-8798 or send an e-mail request to [email protected] The workplan of the organisation approved to operate the HoBAS will become a schedule to the funding agreement between the organisation and the Commissioner for Fair Trading. 5.4 Submit a detailed budget using the template provided at (Appendix 2) As a guide, it is anticipated that approximately 65% of the total grant will be allocated to salaries and salary on-costs, with the balance being utilised for operational costs. Applicants may wish to propose different ratios, and providing these are accompanied by explanatory notes, this is acceptable. The budget should be submitted using the template provided. The types of costs to be included against each budget line item are detailed in the budget category notes accompanying the budget template. Applicants may include additional line items if necessary. As with the workplan, the budget template will be e-mailed on request.

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Under the ‘income’ section of the budget applicants are asked to include an estimate of income from activities for which they intend charging fees. Fair Trading appreciates that this may merely be an estimate, and not an accurate representation of potential income. The grant funds will be paid as follows: • payment of first instalment of grant following Ministerial approval and signing of funding

agreement; and • payment of subsequent instalments following submission to the NSW Fair Trading of

satisfactory work and financial reports. Payment of GST It is State Government policy to pay a 10% GST allowance on all grants. This is additional to the grant amount, but must not be applied to the service’s costs, but is to be remitted by the organisation to the Australian Taxation Office as GST collected.

5.5 Provide identified additional information Applicants should provide copies of: • their most recent audited financial statements; and • their annual report for 2004-05 or other recent (2005 or 2006) documentation describing

the operation and achievements of the organisation.

6. PROPOSED SERVICE PROMOTION STRATEGIES Applicants should include details with their Expression of Interest of their proposed strategies for promoting the existence and nature of the HoBAS and possible follow up promotional strategies.

7. PROPOSED SCHEDULE OF FEES Applicants should include details of the fees they intend charging for specialist advocacy services such as mediation; provision of assistance to consumers in preparing for a Consumer, Trader and Tenancy Tribunal hearing; representing a consumer at a Tribunal hearing; and on-site visits – consideration could be given to scaling this fee, linked to the number of visits conducted. Applicants may wish to nominate other fee areas, or reduce the range mentioned here. By charging for some of their services the service will be able to augment the grant funds provided and therefore be able to provide a more comprehensive service. The income derived from fees will also provide useful information regarding the potential for the service to ultimately operate on a self funding basis.

As indicated at Section 5 of the HoBAS Guidelines, it is expected that the service will provide information, advice, basic negotiation and advocacy free of charge, and will take into account a consumer’s income source and level of income when drafting a schedule of fees.

As also explained in the Guidelines, to ensure the service is equitable and cost effective from a consumer’s perspective, the NSW Fair Trading reserves the right to recommend alternatives to the fees nominated by an applicant. The agreed fees will be included as a schedule to the funding agreement between the organisation and the Commissioner for Fair Trading.

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8. RECORDING OF STATISTICAL INFORMATION The successful HoBAS applicant will be required to record statistical information about client contact numbers, client profile, types of service sought from HoBAS, types of home building issues, and outcomes following HoBAS input. These statistics will form part of the work reports submitted to Fair Trading as part of the accountability requirements.

9. ASSESSMENT AND APPROVAL PROCESS Expressions of Interest to operate the HoBAS will be assessed on the basis of meeting the Eligibility Criteria at 1.1 of this document; fulfilment of the requirements of sections 4, 5 & 6 of this document, and compliance with the ranked Selection Criteria at section 9 of this document. An initial assessment of all EOIs will be undertaken by a Grants Assessment Team to ensure that they all meet the Eligibility Criteria and that all information required under sections 4, 5 and 6 has been provided. To assist the HoBAS Grants Committee in its deliberations, the Assessment Team will then rank the applications in terms of their assessed compliance with the HoBAS Selection Criteria. A Grants Committee will then consider all applications and undertake a competitive analysis of each application in relation to eligibility, the information provided for sections 4, 5 and 6, and the extent to which each application meets the selection criteria at section 9.

Finally, the Grants Committee will make funding recommendations to the Minister for Fair Trading who has the final decision making authority.

Applicants will be notified in writing of the decision regarding their application.

10. RANKED SELECTION CRITERIA FOR ASSESSMENT OF HOBAS 1. Applicant organisation(s) is financially viable, as demonstrated by the audited statements

provided; 2. Applicant organisation(s) has staffing expertise or demonstrated capacity to access staffing

expertise in law, home building and dispute resolution; 3. Demonstrated achievements in planning, development, delivery & evaluation of customer

focused services; 4. Proven track record in effective financial, staff and organisational management; 5. Demonstrable commitment to accountability, including demonstrated capacity to implement

and maintain monitoring and evaluation mechanisms; 6. Applicant’s Expression of Interest demonstrates a commitment to effective dispute

resolution; 7. Applicant(s) has submitted a comprehensive workplan which complies with the HoBAS

Guidelines; 8. Applicant(s) has submitted a budget which demonstrates a commitment to sound financial

management and an appropriate allocation of resources to a professional service utilising legal, building and dispute resolution expertise;

11. EOI ACCEPTANCE NSW Fair Trading is not bound to accept any Expression of Interest and reserves the right to negotiate with any applicant on the proposed budget and / or proposed service delivery arrangements, or to seek clarification of any of the contents of an Expression of Interest.

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Expressions of Interest to operate the HoBAS should be sent to: The Manager Community & Industry Grants Branch NSW Fair Trading PO Box 972 PARRAMATTA NSW 2124 e-mail to: [email protected] Phone: 9619-8798 Fax: 9777 8810 NOTE: While Expressions of Interest may be e-mailed or faxed in the first instance, an original application authenticated by an authorised signatory will be required by the Grants Committee prior to any funding recommendations being made to the Minister.

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Appendix 2- Assessment Sheets

Go to: G:\Funding\Policy and Procedures\Policy & Procedures 2009\Appendix 2-Assessment sheets

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Appendix 3

COST CENTRE & ACCOUNT CODES

Community & Industry Grants

Grant Program Account Number

Company Number

Cost Centre

Statistical Order Number

Credit Counselling Program (CCP) 801243 0100 47020 CCP Special Purpose Fund (CCP SPF) 801239 0100 47020 Financial Counselling Trust Fund (FCTF) 801245 0400 49030 Property Services Grants Program (PSGP)

801248 0100 47020

Tenants Advice & Advocacy Program (TAAP)

801251 0100 47020

TAAP Special Purpose Fund (TAAP SPF) 801252 0100 47020 Home Building Grants Program (HBGP) 801246 0100 47020 3040680 Home Building Advocacy Service (HoBAS)

801246 0100 47020 3040681

Building Contractor Advisory Service (BCAS)

801246 0100 47020 3040565

Rental Bond Board Grants (RBB) 801249 0100 47020 No Interest Loans Scheme (NILS®) 801290 0100 47020 Cooperative Development Grants Program (CDGP)

801242 0100 47020

Motor Vehicle Industry Grants Program (MVIGP)

801291 0100 47020

Travel Expenses (Domestic) 800600 0100 47020 Meal Allowance –Travel 800601 0100 47020 Minor Equipment 800980 0100 47020 Minor/Sundry Expenses 801180 0100 47020

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Appendix 4 – Trustee Appointment Form APPOINTMENTS TO GOVERNMENT BOARDS AND

COMMITTEES

1. Name of Board, Committee, etc.: Please tick: � Part-time � Full-time

2. Legislation (if any) under which constituted:

3. Reasons for appointment: (eg: new board, new position on board, re-constitution of existing board, to fill vacancy)

4. Insert name of any previous incumbent to be removed from database or indicate reappointment.

5. Full name of proposed appointee:

Please tick: � Male � Female

6. Does the proposed appointee identify as belonging to one of these groups? If “Yes” please indicate which.

� NESB

Yes/No � Aboriginal/Torres Strait Islander

� Person with a disability

7. Is the proposed appointee a member of any other Government Boards or Committees? If so, please list them here.

Yes/No

8. Nominee of:

(insert “Minister for …” or name of nominating organisation)

9. Address of proposed appointee:

10. Summary of appointment criteria/qualifications:

11. Remuneration for position:

Is remuneration actually paid? (“No” in the case of Public Servants)

$____________

Yes/No

12. Term of proposed appointment:

Government policy is to increase representation of women, non English-speaking background people and Aboriginal and Torres Strait Islander people on boards and committees. Omission of any information will delay submission to Cabinet. Signed: Minister for Fair Trading

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Appendix 5 – Conflict of Interest Form Community & Industry Grants, NSW Fair Trading, Department of Services, Technology & Administration

GRANTS ASSESSMENT COMMITTEE DISCLOSURE OF PERSONAL RELATIONSHIPS AND/OR PRIOR

KNOWLEDGE OF APPLICANTS Details of Applicant/s

Name of proposed Project/Service: Application.

Funding Source/s:

Date of Assessment:

To protect the fairness and integrity of the selection process, it is required that the Grants Assessment Committee members disclose personal relationships with and/or prior knowledge of applicants. In the broad context, personal relationships might include:

• Family and relatives. • Spouses or partnerships/interests. • Membership of clubs/societies, and • Regular social interaction.

Prior knowledge may be taken to include:

• Work knowledge of an applicant arising from supervision. • Subordinate or peer role. • The existence of prior conflict with the applicant. • The possession of any knowledge or views, which might unduly influence a committee’s

deliberation. Such disclosures should be made as soon as they come to notice. This does not include association in your normal role as an officer of the Department of Services, Technology & Administration. It should also be stressed that prior knowledge of an applicant need not disqualify a committee member. We acknowledge that in some cases, it is unavoidable. It is the Convenor’s responsibility to decide whether a particular set of circumstances should disqualify a committee member. Declaration I have examined all applications and have disclosed to the committee any personal relationships with or prior knowledge of the applicants.

I am aware of the correct procedure for culling applicants and certify that this procedure has been followed. Assessment Committee please print name and sign below . Convenor Name Member 1 Name Member 2 Name Member 3 Name __________________ ___________________ _________________ __________________ Signature Signature Signature Signature Date: _____________Date: ________________ Date: ____________Date:________________

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Member 4 Name Member 5 Name Member 6 Name Member 7 Name __________________ ___________________ ___________________ _________________ Signature Signature Signature Signature Date: _____________ Date: ______________ Date: _____________Date:______________

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Appendix 6 – Reviewing TAAP Reports Reviewing TAAP Reports:

Work Reports 1. Make sure all workplan strategies are covered in the report. If some strategies have been added since

the workplan was submitted, that’s fine, good in fact. Reductions are not however. Of course it may be that the organisation was unable to undertake all the activities / strategies for various reasons, but the reasons should be provided, rather than leave out whole strategies.

2. Check back to the previous feedback letter and take note of any areas the organisation may have been

ask to expand on or rectify in the next report. Note if this has happened. If it has, mention this as a positive in your feedback advice. If not, mention the omission and ask them to provide information or contact you or the Manager, Community & Industry Grants Branch to discuss. Contact details for organisations are kept in the spreadsheet, G:\TAAP\Tables e.g (Stats)\TAAP Database (2008-2011).xls.

3. Data from organisation should be entered into the spreadsheet which is formulated to automatically do

the required calculations, current location G:\TAAP\Tables e.g (Stats)\TAAP Database (2008-2011).xls

4. Check the estimated number of weekly hours spent on each strategy against the estimate provided in

the workplan (workplans are renewed annually, but the workplan for the first year of the funding period– e.g. 2008-09 should be included with the application which is attached to the funding agreement kept on file. If they have allocated significantly more hours to a category than planned, compliment them on this. If they have allocated significantly less without explanation, ask for one – as in “Fair Trading notes that although approximately 20 hours per week were included in the workplan for providing assistance to tenants in preparing for CTTT hearings, only 2 hours have been recorded in the report. Could you provide reasons for the significant difference.

5. As well as showing estimated hours spent on a workplan objective, the services also provide actual

hours spent for 4 weeks out of every 6 monthly reporting period. They can record these in a one month block or 2x2weeks or 4x1 separate weeks. It is at the organisation’s discretion how they do this and how they provide the written format, as long as they provide the total for 4 weeks every 6 months. How the actual hours are presented is not of major concern, some organisations include them under the ‘estimated hours’ on the workplan template, some send us a separate 4 week snapshot report complete with pie charts etc. – the Nth Western NSW TAAS in Armidale has set up software specially for the 4 week snapshot process. If there are huge differences between the estimated hours for 5 months and the actual hours for 1 month, request an explanation – it may be that someone was sick or they had priorities in one area which meant they couldn’t focus on another.

6. If in the previous report it was indicated that an event was going to occur – e.g. a new tenancy worker

was being recruited or they were giving a talk to Centrelink staff, and this has not been mentioned, ask the organisation about it in the feedback advice.

7. Positive comments maybe given for community education sessions conducted and for active

participation in promoting the TAAP service in a given region. It is also of interest to know where the sessions were conducted, approximately how many people attended, what the topics were, and what response participants gave – some services include copies of feedback surveys. If these details are

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not included, it maybe appropriate to request information be included in the next report.

8. If the service has included additional items with their report – e.g. pie charts/ extra statistics/press clippings which talk about their tenancy service / positive feedback from tenants, where appropriate make comment in feedback.

Income and Expenditure Reports 1. Check income is correct – have all payments from Fair Trading been shown e.g. not only the 6 monthly

grant amount, but any additional amounts such as one-off grants e.g. SACS Award increases – the payments made can be checked by adding up the total of all the payment memos we sent to Finance Branch during the preceding 6 months in relation to that service or on the master spreadsheet G:\TAAP\Tables e.g (Stats)\TAAP Database (2008-2011).xls

2. GST allowance paid by NSW Fair Trading should either not be shown at all or shown in both income

and expenditure. GST allowance should not be expended on operational expenses or salaries – the service has to dispatch it to the ATO

3. In terms of expenditure, most of the funds will be utilised for salaries. If there are any significant

differences between current and previous expenditure reports, or current expenditure and budget, firstly think about why this might be – maybe they’ve taken on an additional tenancy worker and this would explain an increase in salaries, or maybe they bought a new computer and this would explain the increase under Office Equipment. Areas to watch are Rent & Outgoings and Office Overheads. These are two areas where auspice bodies may be “creaming” money of the top for the auspice organisation. Keep an eye on “management fees” – these are the fees charged by the auspice for managing the service and are often excessive.

If there appears to be no reason for the significant difference, give them a ring or send an email seeking information. Remember to make a file note of the conversation and place on file. If the answer is still a concern, include this concern in the feedback letter and that this will be monitored.

If the income and expenditure report relates to the first 18 months –2 years of a funding period and the service is showing a deficit then we need to point out to those services in our feedback letter that they will have to monitor expenditure very carefully in the next 12 – 18 months, so that they do not finish the funding period with a deficit.

If it is a large deficit contact the service by phone or email about the issue seeking comments and how they may address this issue. Depending on the outcome, comments should be included in feedback advice. Another option in the case of large deficits is to draft a letter for the D-G to send to them expressing concern and reminding them of their obligations under the funding agreement to manage the funds responsibly. It is important that these detected issues be discussed with Manager, Community & Industry Grants Branch prior to contacting the service. Remember to make a file note of any telephone conversation and place on file.

4. If all is well in terms of income and expenditure, provide feedback advice.

When matters of concern arise, either about work or income and expenditure reports, the organisation should be contacted by phone, letter or email. It should be remembered that the services we fund are working in partnership with Fair Trading in ensuring that consumers have access to support in matters involving credit. They are providing the advocacy NSW Fair Trading cannot provide and are providing their advice services a lot more cost effectively than a government department could ever do.

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Appendix 7 – Reviewing FCSP Reports Reviewing Financial Counselling Reports 1. Check that the number of funded days/hours shown is correct – this is shown at clause 5.6 in their

funding agreement. 2. Check back to previous feedback letter and previous reports. If previous feedback recommended

changes (for example, “the next report should show more files under 12 months old being closed”), see if these were made. If they weren’t it should be raised again with the organisation. If it is a matter of some significance, contact the organisation by phone or email seeking an explanation. If it is considered necessary, also mention it in the feedback email/letter and advise it will be monitored in future;

3. Data from organisation should be entered into the spreadsheet which is formulated to automatically do

the required calculations, current location G:\FCSP\2007-10 Triennium Master Financial Table\Financial Counselling Services Program 2007-2010.xls.

4. Compare statistics between the current and the previous reporting periods. In your feedback, note any significant increases up or down if their report does not indicate any reason for the variation. For example if they advise us that their financial counsellor was in a car accident and was off work for 2 months that would explain a drop in the number of casework clients accepted

5. Ensure client numbers shown in all categories of “2. CLIENT DETAILS” add up to the number of

casework clients accepted – if significantly different, give them a ring, otherwise note it in your letter 6. Check the percentage of cases closed under 12 months old as a percentage of total cases closed –

under the funding guidelines this percentage should be - i.e. they should close 90% of their files within 12 months of opening them. For Legal Services it is 75% of clients no longer requiring legal advice within one year;

7. When looking at client movements –the information provided in previous reports is checked by (i)

looking at the number of existing clients at the start of the period; (ii) no. of new casework clients accepted; (iii) cases closed; this should equal ‘the number of existing clients at start of reporting period’ for the current report. As previously stated the spreadsheet is formulated to automatically do the required calculations, G:\FCSP\2007-10 Triennium Master Financial Table\Financial Counselling Services Program 2007-2010.xls. Any issues should be raised with the organisation or addressed in their feedback.

8. If indicated in the previous report that an event was going to occur – e.g. they were recruiting a new

financial counsellor or were giving a talk to Centrelink staff, and this has not been mentioned, ask the organisation about it in the feedback advice.

9. Positive comments maybe made on such things as increased or significant numbers of Aboriginal

people or people of non-English speaking background being seen. This is particularly so in terms of church groups who have not always been proactive in letting these two groups know of their existence, having relied very heavily on their agency’s existing clientele.

10. Also services maybe complimented on having done community education sessions (Two or more

sessions can be used as a comment benchmark, unless there was one session which had a large audience) – make sure they are actually talking about sessions they conducted – some include the sessions they attended as participants.

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11. If the service has included additional items with their report – e.g. pie charts/ extra statistics/press clippings which talk about their financial counselling service, where appropriate make comment in the feedback.

Income and Expenditure Reports 1. Check income is correct – have all payments from Fair Trading been shown e.g. not only the 6 monthly

grant amount, but any additional amounts such as one-off grants (capital equipment e.g.) or SACS Award increases – the payments made can be checked by adding up the total of all the payment memos we sent to Finance Branch during the preceding 6 months in relation to that service or on the master spreadsheet, G:\FCSP\2007-10 Triennium Master Financial Table\Financial Counselling Services Program 2007-2010.xls

2. GST allowance paid by Fair Trading should either not be shown at all or shown in both income and

expenditure. GST allowance should not be expended on operational expenses or salaries – the service has to dispatch it to the ATO

3. In terms of expenditure, most of the funds will be utilised for salaries. If there are any significant

differences between current and previous expenditure reports, firstly think about why this might be – maybe they’ve taken on an additional financial counsellor and this would explain an increase in salaries, or maybe they bought a new computer and this would explain the increase under Office Equipment. Areas to watch are Rent & Outgoings and Office Overheads. These are two areas where auspice bodies may be “creaming” money of the top for the auspice organisation.

If there appears to be no reason for the significant difference, give them a ring or send an email seeking information. Remember to make a file note of the conversation and place on file. If the answer is still a concern, include this concern in the feedback letter and that this will be monitored.

4. Church groups such as the Salvation Army’s Moneycare program or the Uniting Church’s Creditline carry any deficits, so in their case we do not worry about expenditure exceeding income. However, if a Neighbourhood Centre / Community Centre / Family Support Centre are spending more than it is receiving, this is of concerned and needs to be investigated.

If the income and expenditure report relates to the first six months of a financial year (1 July-30 June) then we need to point out to those Centres in our feedback advice that expenditure should be monitored very carefully in the second six months, so that they do not finish the year with a deficit. If a report showing a deficit relates to the second six months of a financial year (January – June), contact the service by phone or email about the issue seeking comments and how they may address this issue. Depending on the outcome, comments should be included in feedback advice. It is important that these detected issues be discussed with Manager, Community & Industry Grants Branch prior to contacting the service.

5. If all is well in terms of income and expenditure, provide feedback advice. When matters of concern arise, either about work or income and expenditure reports, the organisation should be contacted by phone, letter or email. It should be remembered that the services we fund are working in partnership with Fair Trading in ensuring that consumers have access to support in matters involving credit. They are providing the advocacy NSW Fair Trading cannot provide and are providing their advice services a lot more cost effectively than a government department could ever do.

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