Trust Guidelines

 

TRUSTEES GUIDELINES FOR THE ALLOCATION OF THE

 

COMMUNITY DEVELOPMENT ACCOUNT FUNDS

 

 

 

Prepared for;

The Ketetowenow Trust Trustees

 

Ila McIvor

Cameron McLeod

Harvey Settee

Keith Settee

Donna Carrier

Douglas McIvor

 

Agreement / Implementation Coordinator

Lyle Settee

676-2465 Ext. 236

 

 

 

Prepared by;

Symbion Consultants

April, 2012

 

TABLE OF CONTENTS

 

 

INTRODUCTION

 

A.      GUIDELINES FOR ALLOCATING CDA FUNDS TO ACHIEVE A REASONABLE BALANCE OF BENEFITS

 

A.1     Project Categories

A.1.1   Business Development

A.1.2   Education and Training

A.1.3   Community Programs

A.1.4   Community Infrastructure

 

A.2    Accounting of Funds by Project Category

 

A.3    Reasonable Availability of Funds for Each Project Category

 

A.4    Pre-Determined Funding Amounts for One or More Project Categories

 

A.5    Delay or Suspend Funding Projects Within a Specific Project Category

 

A.6    Amend Eligibility or Evaluation Criteria

 

A.7    Other Means as Necessary

 

 

B.      GUIDELINES FOR BUSINESS DEVELOPMENT PROJECTS

 

B.1   Eligibility Criteria  - Business Development Project Category

B.1.1   Requirement for a Business Plan

B.1.2   Conditions for Businesses Located on a Reserve

B.1.3   CDA Funding for Capital Costs Only

B.1.4   Funding Limits

B.1.5   Grant Funding Only

 

B.2    Evaluation Criteria - Business Development Project Category

B.2.1   Business Ownership

B.2.2   Business Location

B.2.3   Job Creation

B.2.4   Applicants Qualifications and Experience

B.2.5   Applicants Equity Contribution

B.2.6   Applicants Who have Previously Received CDA Funding

 B.2.7   Economic Viability of the Business

 

 

C.      GUIDELINES FOR EDUCATION AND TRAINING PROJECTS

 

C.1   Eligibility Criteria - Education and Training Project Category

C.1.1   Majority of Program Delivered in the Community

C.1.2   Accredited Institutions

C.1.3   High Demand from Community Residents

C.1.4   Training for Residents Only

C.1.5   Training for Residents Proportionate to CDA Funding

C.1.6   Grant Funding Only

 

C.2   Evaluation Criteria - Education and Training Project Category

C.2.1  Funding of Reasonable Expenses for Programs Partially 

C.2.2   Funding Limits

 

 

D.      GUIDELINES FOR COMMUNITY PROGRAMS PROJECTS

 

D.1   Eligibility Criteria - Community Programs Project Category

D.1.1   Funding Limits

D.1.2   Permanent Structures Excluded

D.1.3   Grant Funding Only

D.1.4   Multi-Year Funding Applications

 

D.2   Evaluation Criteria - Community Programs Project Category

D.2.1   Community Based Organizations

D.2.2   Balance of Opportunities for Males and Females

D.2.3   Balance of Opportunities Between Youth and Elders

D.2.4   Distribution of Benefits Between Residents and Non-Residents

D.2.5   Programs Located Outside the Community

D.2.6   Funding From Sources Other than CDA

D.2.7   Multi-Year Funding

 

 

E.      GUIDELINES FOR COMMUNITY INFRASTRUCTURE PROJECTS

 

E.1   Eligibility Criteria - Community Infrastructure Projects

E.1.1   Requirement for a Business Plan

E.1.2   Requirement for an Operation and Maintenance Budget

E.1.3   CDA Funding for Capital Costs Only

E.1.4   Funding Limits

E.1.5   Grant Funding Only

E.1.6   Multi-Year Funding Applications

 

E.2   Evaluation Criteria - Community Infrastructure Projects Category

E.2.1   The Number of Residents that Benefit

E.2.2   Segment of Community that Benefits

E.2.3   Local Employment and Businesses

E.2.4   Long & Useful Lifespan

E.2.5   Multi-Year Funding

 

 

SCHEDULE I - DEFINITIONS

 

 

 

INTRODUCTION

 

             The Ketetowenow Trust (the Trust) was established pursuant to the  The Cross Lake Community Settlement Agreement to safeguard and manage the compensation dollars, which will be paid out by Manitoba Hydro for past and future impacts related to the hydro project, for the benefit of Cross Lake Community Council residents. The Trust includes a Community Development Account (CDA), which is intended to be the primary source of funds for supporting a variety of initiatives that benefit Cross Lake Community Council Residents.

 

             The Trust document also provides for a general process that guides decision‑making concerning the annual expenditure of funds in the CDA. The process requires the Incorporated Community of Cross Lake (ICCL) Council to prepare a plan for presentation to the Trustees based upon proposals from residents and the ICCL Council. Trustees review the plan and the plan is presented and discussed at a public meeting called by the Trustees. After considering input from the public meeting, the Trustees decide whether to approve or amend the Council's plan for expenditure of funds in the CDA.

 

Why Guidelines are Necessary

             The Trust document does not provide specific guidelines to assist the ICCL in soliciting proposals from residents, developing the plan or assisting the Trustees in deciding whether to approve or amend the Council's plan. The Trustees decided to develop specific guidelines to address these needs.

 

             The guidelines will also provide for a consistent approach to CDA fund allocation as new Trustees and Councilors assume their various responsibilities regarding the Trust. As well, the guidelines will make the process of CDA fund allocation decision‑making more transparent so that all community members are aware of how funds may be accessed and what factors are considered by the Trustees when allocating CDA funds.

 

How the Guidelines are Intended to be Used

             The guidelines are intended to assist the Trustees in using their common sense and good judgement by providing a structured framework for evaluating the Council's plan and the specific funding proposals included in the plan. With the exception of those guidelines that reflect conditions of the Trust, the Trustees can use their discretion when applying the guidelines, providing that both the integrity of the Trust and community support for the Trustees judgement is maintained.

 

How the Guidelines were Developed

             The guidelines were developed by the Trustees and Councillors with the assistance of Symbion Consultants. Symbion prepared a discussion paper that identified a variety of factors the Trustees needed to consider when deciding how to allocate CDA funds. The paper assisted the Trustees in thinking about how they want to manage the funds and the process of receiving and evaluating applications for funding.

 

             The Trustees and Council reviewed and discussed this paper at a 2 day workshop. Their advice was used to prepare draft guidelines. A second one day workshop was held with the Trustees and Council to review the draft guidelines. Input from Trustees and Council was used to revise the draft guidelines, resulting in this document.

 

How the Guidelines are Organized

             The underlying approach to developing the guidelines was based upon addressing the most fundamental questions facing the Trustees when deciding how to spend the CDA funds. These questions are;

 

$          How should CDA funds be managed  to recognize that a broad spectrum of community benefits is contemplated by the Trust's purpose?

 

$          What projects should be eligible for funding?

 

$          How should eligible projects be evaluated?

 

             The specific Guidelines which follow are presented to reflect the ordering of these three basic questions. The specific guidelines begin with Guidelines for the Allocation of CDA Funds. These guidelines establish four project categories that provide the framework for the Trustees to monitor how CDA funding is allocated and take the steps necessary to ensure that there is a reasonable balance of funding among project categories during the life of the Trust. The next four parts of the document present specific guidelines for the eligibility and evaluation of projects within each category. The eligibility guidelines will assist the ICCL in screening out some types of projects within each project category, thus ensuring that the annual plan Council brings to the Trustees for review only includes proposals that are eligible for funding. The evaluation guidelines will help Trustees compare different eligible project proposals to decide which projects should be funded and how much funding they should receive.

 

 

Specific Definitions for Capitalized Words

             For the remainder of the document, words that are not part of a title or header that begin with a capital letter or phrases in which each word begins with a capital letter have the meaning defined in the Trust. Schedule 1 provides the definitions for the terms which are used in the remainder of the document.

 

 

A.      GUIDELINES FOR ALLOCATING CDA FUNDS TO ACHIEVE A REASONABLE BALANCE OF BENEFITS

 

             The principal purposes of the Trust instruct the Trustees as follows:

 

             The Trustees shall hold the Trust Funds in trust and administer them for the benefit of the Community, and in particular, to promote and enhance:

 

(a) economic, social, cultural and spiritual welfare;

(b) civic improvement;

(c) employment and services;

(d) recreational opportunities; and

(e) educational and training opportunities;

 

for the benefit of the Community

 

             The Trustees have interpreted these provisions to mean that the CDA funds should be allocated to provide a reasonable balance of community benefits and that using the CDA funds for projects that only address a narrow spectrum of benefits would be inconsistent with the Trust's purposes.

 

             The Trustees will refer to the following guidelines when considering whether CDA funds are being allocated in a manner that recognizes and achieves a reasonable balance of Community benefits.

 

A.1      Project Categories

             The Trustees will consider applications for CDA funding that are consistent with the following project categories;

 

A.1.1   Business Development

             Projects in this category will generate community benefits that are directed primarily toward the employment and services and economic welfare aspects of the Trust's purposes.

 

A.1.2   Education and Training

             Projects in this category will generate community benefits that are directed primarily toward the educational and training opportunities aspects of the Trust's purposes.

 

A.1.3   Community Programs

             Projects in this category will generate community benefits that are directed primarily toward the social, cultural and spiritual welfare and recreational opportunities aspects of the Trust's purposes.

 

A.1.4   Community Infrastructure

             Projects in this category will generate community benefits that are directed primarily toward the civic improvement and recreational opportunities aspects of the Trust's purposes.

 

             The Trustees considered a housing project category and decided that CDA funding should not be used to support either Community owned or privately owned housing.

 

A.2      Accounting of Funds by Project Category

             The Trustees will instruct the ICCL to maintain an accounting of funds approved and expended by project category in order to monitor the distribution of funding by project category.

 

A.3      Reasonable Availability of Funds for Each Project Category

             The Trustees will ensure that there is a reasonable availability of funds to support eligible proposals within each category.

 

A.4      Pre-Determined Funding Amounts for One or More Project Categories

             Prior to receiving the annual plan from the ICCL, the Trustees may instruct the ICCL to include a specific amount of funding in the annual plan  for one or more project categories. The Trustees have agreed that the ICCL will be instructed to include a pre-determined funding amount of $100,000 in the annual plans from 2013 to 2017 inclusive to support education and training Projects. The Trustees have agreed that the ICCL will be instructed to include a pre-determined funding amount of $100,000 in the annual plan for 2013 to support community programs projects.

 

A.5      Delay or Suspend Funding Projects Within a Specific Project Category

             The Trustees may temporarily delay or suspend for one or more years, consideration of projects in a certain category, when they consider such an action necessary to restore a reasonable balance of benefits.

 

A.6      Amend Eligibility or Evaluation Criteria

             Subject to those eligibility criteria required by the Trust, the Trustees may amend eligibility or evaluation criteria for certain project categories, when they consider such an action necessary to restore a reasonable balance of benefits.

 

A.7      Other Means as Necessary

             The Trustees may consider other means to maintain or restore a reasonable balance of benefits as deemed appropriate by the Trustees.

 

 

B.      GUIDELINES FOR BUSINESS DEVELOPMENT PROJECTS

 

B.1      Eligibility Criteria  - Business Development Project Category

             Business Development project proposals must meet the following criteria to be considered eligible to receive CDA funds. 

 

B.1.1   Requirement for a Business Plan

             As per 8.3(c)(iii) of the Trust, proposals must include a business plan.

 

B.1.2   Conditions for Businesses Located on a Reserve

             As per 8.8 of the Trust, if the proposal is for a business to be located on a Reserve;

a)         the Community Council must unanimously endorse the use of the Trust Funds; and

 

b)        the Community Council must provide detailed reasons in writing why in its view, the likely benefits to the Community and to Residents are substantial; and

 

c)         in cases where Trust Funds will comprise more than 10% of the total capital cost of the proposal, plan or initiative, the Community Council enters into an agreement in writing with the First Nation and all other participants in the proposal, plan or initiative that provides that:

 

(i) the Community Council must approve of decisions about the operation or implementation of the proposal, plan or initiative, and

 

(ii) the Incorporated Community of Cross Lake must, legally or equitably, own at least 50% of any assets or interests that are acquired or created as a result of the proposal, plan or initiative.

 

B.1.3   CDA Funding for Capital Costs Only

             The project proposal includes use of CDA funds for project capital costs only.

 

B.1.4   Funding Limits

             The amount of funding requested does not exceed $50,000 or 25% of the project's total capital costs.

 

B.1.5   Grant Funding Only

             The project proposal must be for grant funding only.

 

B.2      Evaluation Criteria  -  Business Development Project Category

             The Trustees will evaluate eligible business development proposals based upon the following criteria:

 

B.2.1   Business Ownership

             The Trustees will consider business development proposals where the business is not owned by Residents of the ICCL, but preference may be given to proposals where the proposed business will be wholly or partly owned by Residents of the ICCL.

 

B.2.2   Business Location

             The Trustees will consider business development proposals where the business is not located within the ICCL boundaries, but preference may be given to proposals where the business is situated either;

$          within the existing ICCL boundary

$          on Article 4 lands

$          near the Community

 

B.2.3   Job Creation: the Number of Jobs, the type of Jobs, Jobs for Residents

             The Trustees will consider the number of jobs created, the type of jobs (pay scale, education and training requirements, seasonal or full time) and the number of jobs that will be available for qualified Residents. Preference may be given to proposals based upon either the number of jobs created, the type of jobs created and the jobs available to qualified Residents.

 

B.2.4   Applicants Qualifications and Experience

             The Trustees will consider the applicants qualifications and experience as they are described in the business plan. Preference may be given to applicants that demonstrate a higher level of qualifications and experience.

 

B.2.5   Applicants Equity Contribution

             The Trustees will consider the amount of the applicant’s equity contribution relative to the total capital cost of the project. Preference may be given to applicants with higher equity contributions.

 

B.2.6   Applicants Who have Previously Received CDA Funding

             The Trustees will consider proposals from applicants who have previously received CDA business development funding, but preference may be given to applicants who have not previously received CDA business development funding.  

 

B.2.7   Economic Viability of the Business

             The Trustees will consider the economic viability of the business as it is described in the business plan. Preference may be given to projects that demonstrate a greater degree of economic viability.

 

 

C.      GUIDELINES FOR EDUCATION AND TRAINING PROJECTS

             The Trustees have agreed that the ICCL will be instructed to include a pre-determined funding amount of $100,000 in the Annual Plans from 2013 to 2017 inclusive to support Education and Training Projects.

 

C.1      Eligibility Criteria - Education and Training Project Category

             Education and Training project proposals must meet the following criteria to be considered eligible to receive CDA funds;

 

C.1.1  Majority of Program Delivered in the Community         

             The majority of the education and training must be delivered in the Community.

 

C.1.2  Accredited Institutions       

             The education and training must be an existing program developed and delivered by an accredited institution.

C.1.3  High Demand from Community Residents          

             There must be a high demand from Residents for the program.

 

C.1.4  Training for Residents Only           

             Where the proposal is requesting funding for 100% of the program's total costs, only Residents will be eligible to receive the training.

 

C.1.5  Training for Residents Proportionate to CDA Funding                         

             Where funding for a portion of the program's total cost is from a source other than the CDA, the program must provide training for Residents, proportionate to the CDA's requested contribution to the program's total cost.

 

C.1.6   Grant Funding Only

             The project proposal must be for grant funding only.

 

C.2      Evaluation Criteria - Education and Training Project Category

             The Trustees will evaluate education and training proposals based upon the following criteria:

 

C.2.1   Funding of Reasonable Expenses for Programs Partially Delivered Outside the Community

             The Trustees may consider proposals where a portion of the training is delivered outside the Community. In these circumstances, the Trustees may consider funding reasonable living expenses for trainees while receiving training outside of the Community, in addition to expenses for tuition, books and supplies. Preference may be given to proposals that do not require a portion of the training to be delivered outside the Community.

 

C.2.2    Funding Limits

             The Trustees may consider funding up to 100% of the program's total costs. Preference may be given to projects that have secured a portion of the total program's costs from sources other than the CDA.

 

 

D.      GUIDELINES FOR COMMUNITY PROGRAMS PROJECTS

             The community program project category is intended to include a wide variety of initiatives such as outdoor education, cultural programs, spiritual programs, community gatherings, student travel, recognition awards, summer student employment initiatives, DR Hamilton academic and sports awards, community sports teams and  elders gatherings.

 

             The Trustees have agreed that the ICCL will be instructed to include a pre-determined funding amount of $100,000 in the annual plan for 2013 to support community programs projects.  

 

D.1      Eligibility Criteria - Community Programs Project Category

             Community Program project proposals must meet the following criteria to be considered eligible to receive CDA funds;

 

D.1.1  Funding Limits         

             The amount of funding requested shall not constitute 100% of the total program costs.

 

D.1.2  Permanent Structures Excluded    

             The project proposal shall not include CDA funding for permanent structures.

 

D.1.3   Grant Funding Only

             The project proposal must be for grant funding only.

 

D.1.4  Multi-Year Funding Applications

             As per 8.3 (e)(i) and (ii) of the Trust, if  the proposal requests funding for more than one year, the proposal must include the following;

$          the reasons for the multi-year funding

$          the amounts requested in each year of  the multi-year funding term.

D.2      Evaluation Criteria - Community Programs Project Category

             The Trustees will evaluate community programs project proposals based upon the following criteria:

 

D.2.1  Community Based Organizations

             The Trustees will consider proposals from organizations that are not based in the Community, but preference may be given to project proposals where the program is delivered by an organization based in the Community.

 

D.2.2   Balance of Opportunities for Males and Females

             Trustees will seek to ensure a balance of opportunities for males and females. The Trustees will give preference to proposals that include both males and females.

 

D.2.3  Balance of Opportunities Between Youth and Elders   

             Trustees will seek to ensure a balance of opportunities between youth and elders. Trustees will give preference to proposals that promote, maintain or restore such a balance.

 

D.2.4   Distribution of Benefits Between Residents and Non-Residents

             The Trustees will consider proposals where program benefits are available to both Residents and non-Residents, but preference may be given to programs where the majority of beneficiaries are Residents.

 

D.2.5  Programs Located Outside the Community         

             The Trustees will consider proposals where the location of the program is outside the Community, but preference may be given to programs located in the Community.

 

D.2.6  Funding From Sources Other than CDA  

             The Trustees will consider the proportion of total proposal costs from sources other than the CDA. Preference may be given to proposals where a greater proportion of the total proposal costs are provided by sources other than the CDA.

 

D.2.7  Multi-Year Funding

             The Trustees will consider proposals requesting funding for more than one year. The Trustees may approve funding for more than one year, subject to the program meeting conditions established by the Trustees.

 

 

E.      GUIDELINES FOR COMMUNITY INFRASTRUCTURE PROJECTS

             Community infrastructure includes permanent buildings or other structures or works owned by the ICCL, including mechanical equipment necessary for use of the infrastructure. Community infrastructure also includes non-permanent equipment and machinery owned by the ICCL

 

             When considering requests from the ICCL for Community infrastructure funding, the Trustees will make all reasonable efforts to ensure that CDA funds are used in a manner that is consistent with Article 2.4.1 of the Settlement Agreement which states:

 

Financial Proceeds shall not be considered a substitute for funding and programming available from Manitoba or Hydro to communities, residents, or groups of residents of Manitoba, under the normal program criteria in effect from time to time.

 

E.1      Eligibility Criteria - Community Infrastructure Projects

             Community infrastructure project proposals must meet the following criteria to be considered eligible to receive CDA funds;

 

E.1.1   Requirement for a Business Plan

             As per 8.3(c)(iii) of the Trust, proposals must include a business plan.

 

E.1.2   Requirement for an Operation and Maintenance Budget

             As per 8.3 (d)(i) and (ii) of the Trust, proposals for Capital Works must include an  Operation and Maintenance budget, and arrangements for funding the Operation and Maintenance budget.

 

E.1.3   CDA Funding for Capital Costs Only

             The project proposal includes use of CDA funds for project capital costs only.

 

E.1.4   Funding Limits

             Where other funding sources have been secured, the amount of CDA funding must not exceed 75% of the project's total capital costs. Where other funding sources have not been secured, the amount of CDA funding must not exceed 80% of the project's total capital costs.

E.1.5   Grant Funding Only

             The project proposal must be for grant funding only.

 

E.1.6   Multi-Year Funding Applications

             As per 8.3 (e)(i) and (ii) of the Trust, if  the proposal requests funding for more than one year, the proposal must include the following;

$          the reasons for the multi-year funding

$          the amounts requested in each year of  the multi-year funding term

 

E.2      Evaluation Criteria - Community Infrastructure Projects Category

             The Trustees will evaluate community infrastructure project proposals based upon the following criteria:

 

E.2.1   The Number of Residents that Benefit

             The Trustees will give preference to projects that benefit a large number of Residents.

 

E.2.2   Segment of Community that Benefits

             The Trustees may give preference to projects that benefits a particular segment (youth, elders, women, men) of Residents

 

E.2.3   Local Employment and Businesses

             The Trustees may give preference to projects that generate and support local employment and supports local businesses.

 

E.2.4   Long & Useful Lifespan

             The Trustees may give preference to projects that create community infrastructure that will serve the community for a long time.

 

E.2.5  Multi-Year Funding

             The Trustees will consider proposals requesting funding for more than one year. The Trustees may approve funding for more than one year, subject to the project  meeting conditions established by the Trustees.