Funding Management System (FMS) Proponent Guidebook · This guide has been developed to assist new...

November 12, 2014

Funding Management System (FMS) Proponent Guidebook

Last Updated: Nov ember 12, 2 014

This page is intentionally left blank


N o v e m b e r 1 2 , 2 0 1 4 3 | P a g e

REVISION HISTORY

This table lists all revisions made to this document:

Version Date Description 0.01 November 12, 2014 • Document Completed


4 | P a g e N o v e m b e r 1 2 , 2 0 1 4

This page is intentionally left blank.


N o v e m b e r 1 2 , 2 0 1 4 5 | P a g e

TABLE OF CONTENTS

SYSTEM & DOCUMENT OVERVIEW...................................................................................................... 6

About the Funding Management System (FMS) ................................................................................... 6

Who Uses the System? ....................................................................................................................... 6

System Requirements ......................................................................................................................... 7

REQUESTING A NEW ACCOUNT .......................................................................................................... 8

Proponent Account Request Form ...................................................................................................... 8

Logging In as a Proponent ................................................................................................................... 9

CUSTOMIZING FMS – RESETTING PASSWORDS AND SETTING UP SUB ACCOUNTS ........................................... 10

Resetting Passwords......................................................................................................................... 10

Setting up Sub Accounts ................................................................................................................... 10

APPLYING FOR FUNDING ................................................................................................................. 13

Submitting a New Application for Funding ........................................................................................ 13

Responding to Information Requests ................................................................................................ 29

AMENDING AN APPLICATION ............................................................................................................ 30

Making changes to a funded Program ............................................................................................... 30

PREPARING INTERIM REPORTS .......................................................................................................... 33

Responding to Information Requests ................................................................................................ 38

INTERIM 3 AND ANNUAL PERFORMANCE REPORTING .............................................................................. 42

Interim 3 Reporting .......................................................................................................................... 42

Annual Performance Reporting ......................................................................................................... 45

Managing Deliverables ..................................................................................................................... 47

TROUBLESHOOTING ....................................................................................................................... 50


6 | P a g e N o v e m b e r 1 2 , 2 0 1 4

SYSTEM & DOCUMENT OVERVIEW

About the Funding Management System (FMS)

The funding management system enables proponents to apply for funding through programs managed by Forestry Innovation Investment (FII) and Natural Resources Canada’s (NRCan) Expanding Market Opportunities.

This guide has been developed to assist new and existing users to understand how the system can be used to develop and submit proposals, amend funding agreements, and prepare and submit interim and annual reports. For the 2015/16 fiscal year, FII and NRCan have made changes to the proposal format and related FMS screens to be completed. All users are strongly encouraged to review the guide to ensure their understanding of the system is up to date.

Who Uses the System?

All eligible organisations that have been given a user name and password are expected to use the FMS online system to manage their funding agreement with FII and NRCan. The FMS constitutes part of the auditable record of the funding relationship. Note that for the purposes of this document any organisation submitting a proposal is referred to as a “proponent”, however once a proposal has been approved and an agreement is in place, the organisation will be referred to as a “recipient”.

FII RULES ON ELIGIBLE ORGANISATIONS Funding is directed to: 1) groups or associations representing multi-company interests and serving the objectives of a large geographic area or the majority of producers of a specific species or product category; 2) academic and forest research institutions. FII funding is to result in benefits that can be accrued to, or be accessible to, multi-company interests and other industry stakeholders, and not be limited to the proprietary interests of any one organization / company. FII will accept applications only from existing or special purpose not-for-profit industry groups / trade associations (primary or secondary), and from academic and forest research institutions. FII will also accept applications from First Nations regional tribal councils or forestry associations, and B.C. Government Ministries.


N o v e m b e r 1 2 , 2 0 1 4 7 | P a g e

FII does not provide business loans, small business grants or assist with the product development or promotion needs of individual businesses. Therefore individual businesses are not eligible to receive FII funds.

NRCAN RULES ON ELIGIBLE ORGANISATIONS

Eligible recipients will include not-for-profit forest products associations, manufactured housing associations, provinces, provincial crown corporations, and not-for-profit organizations engaged in forest product research.

Where a number of eligible associations work collaboratively, one may coordinate the development of the application on behalf of the other associations. In this situation, the federal contribution would be provided directly to the coordinating association on behalf of the other associations. The coordinating association will be accountable for the federal funding.

System Requirements

WEB BROWSER: The FMS system is optimized to run on the Microsoft Internet Explorer v.8 web browser. Certain features may not behave as described in this document if you are using a different browser. Depending on which version of Internet Explorer being used, the “compatibility mode” may need to be turned “on”.

SCREEN RESOLUTION: The FMS system is designed to be run using at least 1360 x 1024 screen resolution. Some FMS screens are quite wide, and as a result some information may not be visible if you are using lower resolution settings. In these cases you will have to scroll up/down or left/right to view all of the information.


8 | P a g e N o v e m b e r 1 2 , 2 0 1 4

REQUESTING A NEW ACCOUNT

Proponent Account Request Form

SETTING UP A USER ACCOUNT: To set up a new user account (and sub-accounts where appropriate), proponents fill out a Proponent Account Request Form online at www.woodmarketdevelopment.ca. Funding proponents will be prompted to an information collection screen at https://www.woodmarketdevelopment.ca/Proponent/RequestAccess.aspx, where they will be asked to provide contact information and a brief description of their organization. Information submitted should include: • membership and areas of representation (regional and / or national); • the products / species the organization represents and the relative importance to the economy (e.g. in

terms of employment, value of shipments, etc); and • the role the organization has in promoting and developing the forest industry. The information provided here will assist FII and NRCan in determining whether a new proponent organization will be eligible for funding. Please review FII’s and NRCan’s eligibility rules posted at http://www.bcfii.ca/funding/guidelines-and-process/ and in section “FII RULES ON ELIGIBLE ORGANISATIONS” and http://www.nrcan.gc.ca/forests/federal-programs/13133 before requesting a User Name and password. This information will also be saved and automatically included in all proposals submitted – so the information need only be entered once. Proponents will also be asked to select the funding agency(ies) to which they are applying. Proponents who wish to apply for funding from more than one source can make multiple selections. Funding proponents should also select “Access to Info Library” and “Access to Market Strategies” for the benefit of all funding related support literature. Proponents are also encouraged to access FII’s library of market and product research at http://www.bcfii.ca/tools-resources/market-research/ and at for relevant background information to their proposals. NRCan will provide access to their Information Library and Market Strategies once an account request has been approved. Proponents requesting an account can expect a response from FII and NRCan within two business days by email providing a User Name and temporary Password. Once a user account is established, proponents can enter the system and personalize their passwords from the one that is system generated.

http://www.woodmarketdevelopment.ca/

http://www.bcfii.ca/funding/guidelines-and-process/

http://www.nrcan.gc.ca/forests/federal-programs/13133


N o v e m b e r 1 2 , 2 0 1 4 9 | P a g e

After a User Name and Password have been confirmed, the organization description provided in an account request will become part of each proposal entered into the system. It can then be updated if necessary, or left unchanged. Before starting any proposals for funding, proponents must have received access to set up an online account from FII and/or NRCan. Funding recipients and organizations that hold an active User Name and Password from a previous Call for Proposals do NOT set up a new user account.

Logging In as a Proponent

PROPONENT LOG IN This is where proponents go to write and submit applications and interim reports: https://www.woodmarketdevelopment.ca/Proponent/Login.aspx

Proponents use the system assigned username, which cannot be changed, and password, which can be personalized, to enter the system.

https://www.woodmarketdevelopment.ca/Proponent/Login.aspx


10 | P a g e N o v e m b e r 1 2 , 2 0 1 4

CUSTOMIZING FMS – RESETTING PASSWORDS AND SETTING UP SUB ACCOUNTS

Resetting Passwords

Proponents can customize their passwords by selecting “Manage My Account” and “My Password”. All three fields (‘Current Password’, ‘New Password’ and ‘Confirm Password’) must be completed. Note that from 2014/15 the FMS requires passwords that include capital and lower case letters and at least one number. This helps protect the security of your financial and program data as all information contained in the FMS is confidential and part of the audit record.

Setting up Sub Accounts

CREATING A SUB ACCOUNT If it is anticipated that more than one person in a proponent’s organization will be working on proposals, sub-accounts for those users can be established. There is no further approval required from FII or NRCan for sub-accounts. Sub-account holders will have the same user privileges as the main account holder, with the exception that only the main account holder can execute the final submission of a proposal as well as the final submission of reporting completed by sub account holders. In order to set up a sub-account, proponents select the “Sub Account” button in the center of the welcome screen and then ‘Create Sub Account’ from the subsequent list.


N o v e m b e r 1 2 , 2 0 1 4 11 | P a g e

Proponents need to provide the first and last names as well as the email address of the new sub account holder. The system will add a username and password to the otherwise customizable email message which is shown below.

MODIFYING A SUB ACCOUNT The four fields shown in above screenshot can be modified using the ‘Modify Sub Account’ bullet.

DELETING A SUB ACCOUNT To delete a sub account, proponents select the ‘Delete Sub Account’ from the list, and check the appropriate box.


12 | P a g e N o v e m b e r 1 2 , 2 0 1 4

In cases where proponent accounts and sub accounts are not used for the duration of one year the account will be automatically de-activated. To have the account activated again, proponents have to contact FII or NRCan.


N o v e m b e r 1 2 , 2 0 1 4 13 | P a g e

APPLYING FOR FUNDING

Submitting a New Application for Funding

DATE RESTRICTIONS FOR SUBMITTING APPLICATIONS

NRCan and FII issue a joint Call for Proposals, typically in November each year, for funding of proposals for activities to be undertaken between April to March of the following year. For example, for fiscal year 2015/16, the period for submissions of applications for the Call for Proposals is early November to mid-December 2014.

FII announces the Call for Proposals on the corporate website at www.bcfii.ca, on BC Bid, and via email alert to existing funding recipients

NRCan announces the Call for Proposals via an email alert to existing funding recipients and account holders as well as other key forest products industry contacts.

NRCan and FII publish guiding documents which accompany each year’s Call for Proposals, such as FII’s “Investment Strategy”, FII’s “Application Guide” and NRCan’s “Handbook for Applicants”. Proponents, whether they are first time proponents or previous years’ funding recipients, must become familiar with the content of these guiding documents prior to submitting proposals.

Both FII and NRCan may open separate Calls for Proposals for separate funding programs throughout the year, e.g. FII’s Call for Proposals for the Wood First program.

It is important that proponents finish their proposals and actively submit them by the closing date of each Call for Proposals. The system will not accept late submissions, and FII and NRCan will not evaluate late proposals.

FILLING OUT A PROPOSAL Funding proposals to NRCan and FII are uniformly structured and each proposal is made up of the same sections:

A) General Information about the Proponent

B) Market Description and Trends

C) Proposal Objectives

D) Link to Strategy, Partnerships, and In-kind contributions

E) Focus Areas

http://www.bcfii.ca/


14 | P a g e N o v e m b e r 1 2 , 2 0 1 4

F) Projects

G) Performance Management (read only)

H) Deliverables (read only)

I) Support Files

This structure leads from general information (big picture) at the start to more specific details (proposed activities and budgets) in the body of the proposal.

There is a minimum of 12 screens (depending on the number of proposed projects) which make up each proposal, most of which require data input in the form of text fields, performance targets and budget figures. Proponents are requested to refrain from inserting tables and graphs in these text fields. Please upload these as support files.

On each screen of the application system, the user will find a Help button that provides helpful suggestions and guidance about what is required in that section. Proponents are encouraged to review this information for each section of the application system, to ensure the information submitted responds adequately to what is being requested.

The first steps to entering a proposal are to select the “New Application” button on the left side of the welcome screen, and the “Proceed” button on the following general instruction page.

In the following screen, proponents choose whether their proposal is addressed to NRCan, FII or both funding agencies. It is important to choose the carefully, because NRCan may not fund activities in markets which FII supports, and vice versa. For an overview of markets in which activities are funded either by NRCan or by FII please refer to the relevant guidance documents.


N o v e m b e r 1 2 , 2 0 1 4 15 | P a g e

Proponents are required to submit a separate proposal for each geographic market in which activities are planned. For example, a proponent who wants to propose programs in the US and in India will have to prepare and submit two separate proposals.

General Information

The contact information and organization description which was provided by a proponent while requesting access to the online funding management system will be incorporated into all proposals automatically. Proponents will have the ability to change this information at any time. However, once this information is changed (see below) in one proposal, it will be changed in ALL proposals.

Proponent Contact Information

Proponents can review and change the general contact information that was originally provided with the request for a User Name and Password. Any changes to contact information will be updated in all proposals in progress. All mandatory fields are noted with a red “*”.

Proponent Description

The Proponent is required to update the brief organization description, along with its principal purpose and its mandate to undertake market or product development activities. The field is automatically populated


16 | P a g e N o v e m b e r 1 2 , 2 0 1 4

with the details provided when the account was requested. The description of the Proponent organization should address:

• Membership and areas of representation (regional and / or national); • The products / species the organization represents and the relative importance to the economy (e.g. in

terms of employment, value of shipments, etc); • The role the organization has in promoting and developing the forest industry.

Market Description & Trends

In the Market Description section the Proponent is asked for key information on trends related to wood products use specific to the respective proposal.

This provides an opportunity for the Proponent to briefly explain its specific organization’s interest in developing a particular market or product; and what outcomes are sought to benefit the B.C. / Canadian forest sector. Please only provide information relevant to the proposal and the products / species / applications being targeted in the funding proposal.

Proponents should describe the current conditions for the market / product specific to the proposal, and address the following areas:

• Current wood use, including opportunities, threats and risks (such as tariffs, non-tariff barriers);

• High level statistics and trends, where these are directly relevant to the activities proposed (e.g., housing starts, demographic changes);

• Potential for growth;

• Consumers' preferences, demands and needs;

• Major competitors and competing products.

Market Objectives

Proponents must select the market objectives relevant to their proposal from a drop down list in the application system.

Proponents will then have an opportunity to describe any additional specific objectives they have for the proposal and related activities. Note there is a 100 word limit in this section of the proposal. Objectives should be achievable within a one-year time frame. If there are longer-term objectives for the project, they should be clearly identified as such. Realistic and achievable targets should be specified and proponents should describe how the achievement of those targets will be measured.

Proposal objectives are a criteria in the proposal evaluation score. Proponents that clearly outline specific and realistic objectives for their activities will provide a compelling case for their projects.


N o v e m b e r 1 2 , 2 0 1 4 17 | P a g e

Link to Strategy

Canada Wood Group, NRCan and FII have collaboratively developed and updated market development strategies for major export markets. These are available to proponents in the “Information Resources” and “Application Guidelines” section on the Welcome Page. In this section of the proposal, proponents explain briefly how the proposed program links to the priorities identified in the market strategy. This section has a 100 word limit so it is important to succinctly describe how the specific proposed activities respond to one or more of the strategic objectives outlined in the published strategy for that market. If a published strategy is not available for the market chosen, proponents should focus instead on how the proposal will deliver on their organisation’s market strategy and a copy of their strategy should be added under “Support Files”.

It should be noted that the quality of the business case for the proposal is assessed as a major part of the evaluation scoring process. This section, along with Focus Area rationales form the basis of content assessed under this criteria so it is important that this demonstrates a compelling case for funding.

Partnerships and Collaboration

In this section proponents should outline all organisations with which they will be collaborating on the work proposed. This could include other B.C./Canadian associations or organisations, as well as associations, non-governmental bodies or government agencies in the target market. Specific details should be provided where an organisation is partnering with the proponent on a specific project only and not the whole set of activities. This should include description of what role partners will play in project delivery.

Note that this section has changed from previous applications. In the past, partnerships would be noted in each project summary text field. Going forward, proponents must describe all partnerships and collaborations in this section only. It should also be noted that partnerships and collaboration make up a significant part of the proposal evaluation weighted score.

In-kind Contributions

Where proposals are able to demonstrate additional industry support for activities beyond the minimum cost-share requirements, this contributes to a higher proposal evaluation score. Therefore it is important that proponents clearly identify where companies and/or industry organisations are providing additional financial contributions, support letters, donations of products/samples or other direct contributions to the project (e.g., volunteer time on project steering committees, or for presentations etc) that will support project delivery.

Note that Executive and/or Board member time of the proponent organisation is not considered as an “in-kind” contribution for the purposes of the evaluation score. Individual company investment in attending tradeshows or company representative time to participate in activities where they anticipate a direct benefit is also not included for the purposes of “in-kind” contribution. This is understood to be a normal cost of doing business for individual companies.


18 | P a g e N o v e m b e r 1 2 , 2 0 1 4

Proponents are encouraged to provide specific details of financial or other in-kind contributions to support their proposal, quantifying where possible. Description of such support should be provided in this section, and support letters or other documentation can be uploaded as “Support Files”.

Focus Areas

FII’s and NRCan’s programs are structured into several focus areas under which one or multiple related projects can be organized. Proponents should review focus areas carefully in NRCan’s and FII’s guiding documents to make the appropriate selection(s) for their proposal(s).

Not all focus areas apply in every market. The online system is designed to show to proponents only those focus areas that relate to the market that was selected earlier in the application process.

Proponents must complete the Focus Area section of their proposal before starting the Projects section. Please note that the Focus Area cannot be changed once a project has been started. Please ensure that the correct Focus Area is selected.

Rationale

A rationale must be completed for each Focus Area selected. Creating a specific link where possible to the strategy and proposal objectives will make a more compelling rationale for the Focus Area projects.

This section should explain why the specific Focus Area has been chosen (e.g., why “Codes and Standards” work is necessary in the market) and how the Focus Area projects are expected to support delivery of the proposal objectives. As noted above, along with the “Link to Strategy” the “Rationale” contributes to the total score for the quality of the proposal business case.

Performance Indicators

In order to support NRCan’s and FII’s performance management obligations and public accountabilities, proponents must provide key performance measures and indicators. This happens in a two-step process:

1. Setting performance targets at the time of writing the proposal. Please ensure that these are specific numbers and are not provided in the form of a range (e.g., “20 attendees” rather than “20-30 attendees”.

2. Reporting results against these targets at the time of annual reporting. Failure to provide clear performance targets will delay approval of applications.

Higher level intermediate outcomes are listed for every focus area, and proponents have an opportunity to define targets for the performance indicators suggested. At the time of annual reporting on successful and approved proposals, recipients will be asked to report actual results against the targets set.


N o v e m b e r 1 2 , 2 0 1 4 19 | P a g e

The system collects information for immediate outcomes targets later in the application, during the preparation of the budget(s) for each proposed project.

Performance indicators and the targets which are established here, along with the market objectives and activity type indicators, will be summarized in the Performance Management tab of the on-line system. They also become part of the workplan in FII’s Recipient Agreement and NRCan’s Contribution Agreement. This allows proponents to review all relevant performance information on one screen (even though it is entered into each section of the proposal as it is developed.

Market Access – Codes & Standards performance will be measured through the use of a Market Access matrix template. FII and NRCan expect that Codes & Standards related activities will be coordinated in all markets by the Canada Wood Group. One Market Access Matrix should be set up and maintained for each market in which Codes & Standards work is proposed. The template document is posted in the online proposal application system in the “Application Guidelines” section. Alternatively, a copy of the template is available upon request from FII or NRCan.

Projects

In the Projects section, Proponents enter individual projects for each focus area that has previously been set up. Each "project" will identify the activities Proponents intend to complete to enable them to achieve their stated objectives.

Proponents are able to enter as many different projects as they wish for each focus area but can group all similar activities under one project. For example:

• If a Proponent intends to participate in 5 tradeshows in a market, the Proponent could submit one project for Tradeshows. Under the ‘tradeshow’ project, each tradeshow should be its own separate activity and include budget item details.

• If a Proponent intends to do a variety of promotional material pieces in a market (brochures, DVDs, etc), the proponent should submit one project for Promotional Material.

To create a project the proponent must:

• Enter a project name • Select the focus area the project falls under • Select the desired method of developing the budget (summarised or detailed) – see section

“Project Budgets” for more information on these forms of budget design.

The next step in this screen is for the proponent to identify the project lead – and finally hit “Proceed”.

• The list of potential project leads is made up of the main account holder, as well as all holders of sub-accounts;

• The person selected as the project lead as well as the main account holder will receive all future system generated correspondence regarding the project;


20 | P a g e N o v e m b e r 1 2 , 2 0 1 4

• To create additional project leads, the holder of the master account must create a sub-account for the new project lead. The sub-account holders will be able to edit / create anything in the proposals except for submitting the final proposal and interim/final reports.

Project Information

Brief Project Description

Proponents are required to briefly summarize, in less than 100 words, the activities to be included in the project. The information provided in the Brief Project Description may (in part) be used by the funding agencies for proposal summary purposes in contract documents and executive summary documents.

Note that the Brief Project Description needs to give an adequate summary of the project such that someone would understand the basic outline without reading the other sections of the project information.

Outcomes Achieved to Date:

This section has changed from previous years. If a proponent has received previous funding for activities in the market for which an application is being made, summarise the specific impacts and achievements secured by their previous efforts. For example if in the past 2 years they have worked on code changes and they have secured approval from the local regulatory body this should be noted here. Similarly if multiple tradeshows have been held in a market before, indication of sales achieved over the last 2-3 years (only) should be noted.

If the application is a new market where previous activities have not taken place, then this can be noted and no further details are required.

Detailed Project Plan

The Detailed Project Plan should explain how the project will be completed, noting project steps or phases and an explanation of how the activities will be implemented. This section is where proponents can elaborate on project specifics beyond that provided in the Brief Project Description above.

Personnel/Staff

Proponents should provide the name of each person (employee and consultants) directly involved in the delivery of the project, with an indication of the main role each will play in the program delivery (e.g., as researcher, as mission leader, as quality assurance provider etc).

Note for Market Access work delivered under Canada Wood Group a brief summary can be provided here, with a full list of staff attached as a separate “Support File” as these are also covered under the Infrastructure Agreement.


N o v e m b e r 1 2 , 2 0 1 4 21 | P a g e

Project Budget

The next step will be to enter project budget and workplan information into the budget screen. Only whole numbers can be entered into budget screens. All budget estimates should be rounded to the nearest dollar when entered.

In building a budget in the proposal the first decision is whether to build a summary budget or a detailed budget. Once selected, the formats of budgets cannot be changed without loss of data.

Summarized budgets require the proponent to enter only annual values for every budget item selected and then enter only the breakdown of the annual total cost into the three interim reporting periods, based on cash flow requirements. This method of budget is preferred.

Example for a “Summarized Budget”


22 | P a g e N o v e m b e r 1 2 , 2 0 1 4

Using the detailed budgets feature allows proponents to enter the 3 interim reporting budget figures for every budget item and then adds them up automatically into annual totals – from there, activity type subtotals are calculated automatically. This may require more time in the proposal, reporting, and year end reconciliation stages and is therefore not preferred.

Example for a “Detailed Budget”

Activities Each activity in any given project is described by an activity type and an activity description. Proponents will be shown the performance indicator(s) relevant for each activity type, and prompted to enter into the system a target for most indicators.

Example 1: A proponent may choose the activity type “Technical Publication”. The system will ask you for a brief description and show one performance indicator:

• Brief description: name of the publication to be developed


N o v e m b e r 1 2 , 2 0 1 4 23 | P a g e

• “# of copies produced” – you will be asked to enter the number of copies you plan to produce under “Targets”; and at the time of annual reporting on funded and approved projects you will be asked to report the actual number produced.

After the activity information is entered, proponents select from the following list the appropriate budget items for the activity:

Airfare (Incremental Business) Booking / Participation fees Domestic Travel Floorspace Gifts / Awards Int'l Travel Materials / Supplies / Tools Office Rental & Expenses Offices (Non-Res) Other Printing Professional Services Shipping / Storage Staff & Benefits

Note – where “Staff and Benefits” is the activity item selected, Proponents must provide detail on the last names of individual employees that will complete the work and numbers of hours/days to which this budget item relates. Note, if the individual to complete the work is not known at the time of submission of the proposal, this can be described by job title or more general description at the time of the proposal, and will be expected to be updated at interim reporting once the individuals are known.

Only staff of the proponent organisations should be included in the “Staff and Benefits” budget item. Contractors and Consultants should be included under the Professional Services budget item. There are two options for Professional Services, “Per Diem” and “Fixed Rate”. Per Diem is preferred and proponents may be asked to change this if fixed rate is selected without explaining why this was necessary.

If ‘Professional Services – Per Diem’ is chosen as a ‘budget item’, proponents will be asked to:

• identify the consultant’s name in the ‘description’ field; • identify the ‘number of days’ and ‘cost per day’ – which will automatically generate the ‘total cost fiscal

year’. If more than one consultant is working on an activity, each should be listed in a separate line; • enter details on the competitive process (i.e. Request for Proposals, Request for Qualifications, etc); OR

if a competitive process is not used, provide details for the selection of the subcontractor with reference to how the reasonableness of the rate has been ascertained.

• FII and NRCan must be made aware of any changes or additions of new subcontractors through details at Interim reporting, and the changes must continue to respect conflict of interest and competitive process requirements;


24 | P a g e N o v e m b e r 1 2 , 2 0 1 4

If ‘Professional Services – Fixed Rate’ is chosen as a ‘budget item, proponents will be asked to:

• identify the consultant’s name in the ‘description’ field; • enter the total budget for the consultant. If more than one consultant is working on an activity, please

add a new ‘budget item’ for each consultant; • enter details on the competitive process (i.e. Request for Proposals, Request for Qualifications, etc); OR

if a competitive process is not used, provide details for the selection of the subcontractor with reference to how the reasonableness of the rate has been ascertained.

• FII and NRCan must be made aware of any changes or additions of new subcontractors through details at Interim reporting, and the changes must continue to respect conflict of interest and competitive process requirements;

Administration Allowance

The budget screen will allow proponents to request an allowance for administrative costs associated with delivering the project – up to a maximum of 10% of the project cost. Administration costs are automatically calculated. A Proponent can reduce the amount of administration costs requested by overwriting the boxes on the Admin Costs line in the Budget Summary area of each project budget. Proponents are not able to increase the total administration allowance beyond 10% of the total budget.

Note that the system will show the full administration allowance (up to 10% of total cost), however FII/NRCan have determined that half of this administration allowance (5% out of a possible 10%) is earnable, as outlined in Schedule 5 of FII’s Sample Recipient Agreement and as outlined in NRCan’s Handbook for Applicants. Therefore, for FII, the amount advanced to the recipient through the year is 95% of the budget as reflected in the FMS. For NRCan, the full 10% administration allowance is advanced through the year, and then reconciled at year end. The earnable portion of the administration allowance is managed outside the FMS at year end as a one off additional advance to the recipient depending on the percentage earned (up to a maximum of 5%).


N o v e m b e r 1 2 , 2 0 1 4 25 | P a g e

Sources of Funding

The sources of funding (FII, NRCan, and Industry) are automatically calculated based on the cost shares as outlined in the guiding documents. A Proponent can overwrite the cost share breakdown, as long as the revised funder cost share is lower than outlined in the guiding documents. Proponents cannot request more than the posted percentage share from funders. Cost share rules are posted in the FII “Application Guide” and the NRCan “Handbook for Applicants” which are available as information resources on the Welcome page. Note cost shares in 2015/16 have changed from the previous year.


26 | P a g e N o v e m b e r 1 2 , 2 0 1 4

Please note that the yellow warning box will calculate the funding amount which has to be accounted for in order to bring the dollar amounts from the Funding Sources to the level of the total project cost. If necessary, the Industry Funding can also be amended by returning to the Activity budget table.

Performance Measures

The Performance Measures tab summarizes all of the performance measures, indicators and targets that have been identified in the proposal. It is a one-page overview which lists the indicators that funding recipients will report against at the end of the year. There is no mandatory information to be provided within this tab, however proponents are encouraged to add comments and explanations for targets set using the comments text box at the bottom of the screen to provide additional context.

Proponents can also use the comment section to explain how measures will be tracked throughout the year. Performance measures contribute to the weighted evaluation score and proposals with clear explanation of how measures are tracked and robust targets tend to score well. FII/NRCan may ask for performance measures to be clarified before agreements are put in place if information in this section is insufficient. If “N/A” is used instead of putting a numeric target then this must always be explained in the comment section.


N o v e m b e r 1 2 , 2 0 1 4 27 | P a g e

Deliverables

No information has to be provided within this tab. It is an overview of the deliverables the funders will require at the end of the year. Funding recipients should use the “deliverables tab” when they prepare annual reporting as a checklist of deliverables that should be submitted to the funding agencies.

Upload Support Files

Proponents have the opportunity to attach supporting documents, such as spreadsheets, graphs, the Market Access Codes & Standards Matrix, and other supporting information to each proposal. Proponents should note that where supporting information has been provided by FII or NRCan (e.g., market strategies, trend analysis reports, etc) these SHOULD NOT be uploaded as support files and can be simply referenced in the text of the application.

WORK IN PROGRESS APPLICATIONS Proponents can save proposals that they have been working on and return to them later. To access a proposal that is already in progress but not yet submitted to FII or NRCan, there is a “Work in Progress Applications” button on the Welcome screen.


28 | P a g e N o v e m b e r 1 2 , 2 0 1 4

This will open to a screen that will list proposals that have not yet been submitted to FII and NRCan. Select the appropriate proposal and continue to complete it.

SUBMITTING APPLICATIONS

When the Proponent is satisfied with the proposal, there are two separate actions to be taken depending on whether the person creating the application is the main account holder or a sub-account holder.

If the application was created by a sub-account holder, this sub-account holder will have an orange “VALIDATE” button in the top right hand corner of the screen. Once pressed, the online system will automatically search the proposal for missing fields or inaccurate financial information. If any fields have not been completed, or if the financial information does not calculate correctly, the system will produce a list of problem areas as hyperlinks. Each link can be selected to automatically redirect the Proponent to the screen where the problem area exists. Once all of the problem areas have been successful addressed, the “VALIDATE” button will successfully validate the proposal and submit the proposal to the main account holder. This allows the primary account holder the opportunity to review the proposal, make any changes, and then submit to FII and NRCan using the orange “SUBMIT APPLICATION” button in the top right hand corner of the screen.

VIEWING SUBMITTED APPLICATIONS Once an application has been submitted to FII and NRCan for consideration, it can no longer be changed. However, Proponents can view their submitted proposals at any time. To access a proposal that has already been submitted, there is a “View Submitted Applications” button on the Welcome screen.

This will open to a screen that will list proposals that have been submitted to FII and/or NRCan. Select the appropriate proposal. It is available for printing by using the MS-WORD and PDF links.


N o v e m b e r 1 2 , 2 0 1 4 29 | P a g e

Responding to Information Requests

As part of the proposal evaluation process undertaken by FII and NRCan, additional information or changes to the submitted proposals may be requested from Proponents. Once the additional information or amended proposals are provided by the Proponents, FII and NRCan may then approve the applications for funding. The mechanisms to respond to these requests for additional information or changes are as follows:

FORCED LOGIN The Proponent will receive a system generated email with details of the nature of the request for additional information or required changes to be made to the proposal. This email will include a link to the online system. The Proponent must log onto the system and address the issues outlined in the email by adding text or amending budgets in the project screens and then resubmit the proposal to FII and NRCan. There is also an “Action” box located on the right side of the welcome page that will indicate to the Proponent any items requiring action.

EMAIL RESPONSE The Proponent will receive a system generated email with details of the nature of the request for additional information regarding a specific proposal. In this form of information request the Proponent DOES NOT need to change the project text or budget as submitted in the proposal screens but must respond to the email via the online system.


30 | P a g e N o v e m b e r 1 2 , 2 0 1 4

AMENDING AN APPLICATION

Making changes to a funded Program

Over the course of the fiscal year it can be expected that a workplan and budget will change. Common reasons are that a certain project or activity requires either more or less budget to complete, gets delayed beyond the end of the fiscal year, or an urgent priority, which was not foreseen in the original proposal or agreement, needs to be addressed.

The process for managing workplan changes is for funding recipients to inform FII and/or NRCan of the proposed change from the original workplan by email and to provide any relevant information related to the change. NRCan and FII will then review the request for a change, possibly ask for additional information, and either approve or decline the request. In cases where the requested change to the workplan is approved, NRCan & FII will work with the funding recipient to determine if the workplan update is best documented in the next interim report, or if a separate amendment between two reporting deadlines should be put into place. Every time a recipient plans to add a new project to a workplan, the existing proposal has to be opened for an amendment.

Adjusting budgets between interim periods in order to reflect differences between the planned level of activity and actual spending normally do not need an amendment and should be covered in the interim reports. Similarly, minor adjustments between budget items and activities should be addressed in interim reports and normally do not require an amendment.

FII will process an amendment and produce a confirmation letter, either between reporting deadlines, or based on updated interim reports,

1. when FII’s contribution to the total annual budget of a contract changes, 2. when the nature of the original workplan changes substantially, 3. when a new project is added to the contract.

NRCan will process an amendment, either between reporting deadlines, or based on updated interim reports, when a new project is added or when NRCan agrees to increase the total funding that it will provide to a Proponent. It should be noted that NRCan can only fund expenditures incurred after the signing of an amendment.

It is important to note that recipients who receive joint funding from NRCan and FII will have to contact both funding agencies separately to discuss any changes to workplans and budgets which might lead to a contract amendment.

FII / NRCAN INITIATE AMENDMENTS After the funding recipient has agreed with NRCan/FII on amending a contract between reporting deadlines, NRCan/FII will “open” the contract for an amendment. The funding recipient will receive an


N o v e m b e r 1 2 , 2 0 1 4 31 | P a g e

email message from “[email protected]” which may have specific instructions and confirms that an application is open for an amendment.

The Action Items box on the recipient’s homepage in FMS will show that an application is open for amendment by changing the counter from zero to “1 Amendments Requested”.

AMENDING AND RESUBMITTING AN APPLICATION In order to proceed with an amendment, the recipient clicks on the “ … Amendments Requested” hotlink and selects the application to amend from the following list.

By selecting the appropriate application from the list the recipient will have access to the section(s) of the application which have been mutually agreed upon. This can be a specific project, or a focus area, or the application in its entirety (including the ability to attach supporting documents). Once all the relevant information is written up, the recipient uses the orange “Submit” button in the top right corner of the screen and goes through the same submission procedure as was used when submitting the original proposal.

When existing projects are opened for amendment, recipients will have to fill out one mandatory text box called “Justification for Amendment”.

mailto:[email protected]


32 | P a g e N o v e m b e r 1 2 , 2 0 1 4

In this section the recipient should explain briefly why the change to the projects and/or budgets was needed and summarise briefly the change made. After the amended application is submitted, the recipient will see the green bordered “Success!” message and the “Amendments Requested” counter is set back to zero.

Similar to the review and approval process for new proposals, NRCan/FII review an amended application, and will send information requests if necessary, prior to approval.

The amendment process cycle is completed with FII printing and forwarding a “Confirmation Letter” which confirms changes to workplans and budgets. NRCan will forward an amendment to the Contribution Agreement to the funding recipient for signature. Once the amendment is returned and signed by NRCan, expenditures can be incurred.


N o v e m b e r 1 2 , 2 0 1 4 33 | P a g e

PREPARING INTERIM REPORTS

For funding management and reporting purposes the fiscal year is divided into three equally long (4 month) periods. At the end of each interim period a report on progress and financial performance is required. Proponents submit their interim report one month after the end of interim periods. Interim reports and the annual reports are managed within the online funding management system.

DATE RANGES FOR REPORTING

Funding recipients start the interim reporting process by selecting “Reporting” from the green menu bar on the Welcome screen, or by hitting the “Interim/Final Reporting” button in the center of the Welcome screen.

Interim Report Report covers expenses in the period:

Online System Opens for Reporting

Report Due

Interim 1 April 1 to July 31 July 20 August 30 Interim 2 August 1 to

November 30 November 20 December 30

Interim 3 & Annual Reporting

December 1 to March 31

April 1 April 11 (online reporting to FII) April 25 (financial statements to FII) April 30 (NRCan only)


34 | P a g e N o v e m b e r 1 2 , 2 0 1 4

The following screen will show recipients the list of projects within each application for which interim reports must be submitted. Each project report is made up of two sections, operational reporting and financial reporting.


N o v e m b e r 1 2 , 2 0 1 4 35 | P a g e

Example of a Recipient with 16 projects in 3 proposals:

Example of a Recipient with a single project in a single proposal:

On this screen recipients can access key financial data via the three black buttons

1. View Detail Summary Report (DSR) – this report shows the full spreadsheet of budgets for all projects in all applications in the current fiscal year1.

1 Proponents that would like a detailed explanation of what the summary budget sheet or other downloadable spreadsheets show, should contact FII/NRCan.


36 | P a g e N o v e m b e r 1 2 , 2 0 1 4

2. Advance Information FII – this report shows a table outlining the advances that the proponents can expect to receive from FII based on the reported budgets and assigned cost shares, assuming this is approved as submitted.

3. Advance Information NRCan – this report shows a table outlining the advances that the proponents can expect to receive from NRCan based on the reported budgets and assigned cost shares, assuming this is approved as submitted.

Each button will prompt the download of a spreadsheet. Go to “DOWNLOADABLE FINANCIAL INFORMATION”, starting on page 39 for detailed descriptions of the spreadsheets.

Recipients can also download an MS-Word version of ALL Interim project reports from this page (see blue arrow).

To download an MS-Word version of an individual project report, recipients select the “MS-Word” hotlink on the respective project report page.

Operational reporting

Each interim 1 and interim 2 project report is made up of three text boxes, and an upload support files tool that allows for the submission of attachments to interim reports. The three text boxes are

1. Status Report and Key Achievements Recipients give a concise update covering key activities and accomplishments on the activities which make up the workplan in each project. Changes from the previously approved workplan activities should be explained in particular, e.g. delays in delivering the project, or elevated activity.

2. Variances Whenever there are significant differences between the budget for the interim period and actual spending, recipient must explain them in this section of the operational report. This section should also include explanation if additional activities have been added based on pre-approval in principle from FII/NRCan. This section of the report is critical to highlight for the funder(s) what has changed during the period of the report. Funding recipients whose budgets are subject to exchange rate fluctuations during the fiscal year will make their estimates for exchange rate expectations for the final interim period in this section of the interim report. Note the exchange rate used for budgets must be updated in the Interim 2 report where necessary as this will be used to assist with determining earnable administration allowance.

3. Next Steps In this section recipients comment on the remainder of the project that it still to be delivered in the remaining period of the year. If additional activities are planned they should be noted here and any potential roadblocks or hurdles to completion of the project as planned could also be noted if known.

File Attachments In this section, recipients have the opportunity to augment the information from the previous three text fields. Electronic samples of deliverables can be submitted using this feature (e.g., research reports, project


N o v e m b e r 1 2 , 2 0 1 4 37 | P a g e

summary reports, as well as photography / video footage of program delivery. Photography should always be high resolution (300 dpi or more), so that it can be used by FII and/or NRCan in electronic and print documents such as annual reports, stakeholder reports and case studies. Typically high resolution photography files are more than 2 megabytes in size.

Financial Reporting:

The financial reporting aspect of each interim report is managed in an expanded version of the budget table that recipients previously developed in the original proposal. Note that budget information submitted in the interim reports forms part of the audit record of the agreement. Recipients should be very clear that when a budget table is labelled “actual” the numbers entered should, to the best ability of the recipient, reflect the real and documented expenses that have occurred to date and are recorded in the recipient’s accounting system. Estimates or forecasts should only ever be entered into columns labelled “budget” and should NEVER be entered into the “actual” column of a budget table.

In each activity of the budget screen, recipients will see the previously approved budget (marked in purple in below screenshot), and report actual spending against the budget (marked in brown). Recipients also update future interim period budgets and their effect on the annual budget for each activity.

In cases where actual spending in the interim period was less than the previous budget, recipients can decide if they want to increase later interim budgets if they expect that spending will increase in future interim periods, or if they want to keep future interim period budgets the same. The effect will be a reduction in the annual budget for that activity.

On the other hand, in cases where spending in an interim period has been higher than the previous budget, recipients can either reduce future interim period budgets if they want to keep the annual budget the same, or increase the annual budget for the activity if they have prior approval in principle from NRCan and/or FII.


38 | P a g e N o v e m b e r 1 2 , 2 0 1 4

= Previously Approved Budget Details

= Actual Spending (Interim 1) & Updated Interim 2&3 Budgets

Recipients can adjust the budgets in individual budget lines in the “Revised Budget” column (also marked in brown), or add budget lines (see red arrow in screenshot). If changes are made in the “Revised Budget” column, it is important that the new annual funding total matches the sum of interim period spending/budgets (see yellow arrow in screenshot).

Recipients can also add new activities into the budget screen in an interim report (see green arrow). The new activity will (temporarily) be added to the very bottom of the screen and users may have to scroll down in order to complete the fields.

Recipients have the ability to “move” funds between activities, and between projects by increasing and reducing respective activities or budget items in their interim report. These funding moves are subject to review and approval by FII and NRCan. In cases where annual budget changes in one activity or project are not offset by budget adjustments somewhere else in the same application, and the end result is a change in the annual budget of the application, then (subject to approval) FII will create and send to the recipient a “Confirmation Letter” in order to document the change. For NRCan, any movement of funds, greater than 20%, between existing Projects, will result in a revised budget document which will need to be approved / signed by both the funding recipient and NRCan.

For any significant re-allocations of funds between activities and projects, recipients should contact NRCan/FII in order to determine how best to manage the change in the budget.

The interim reporting function does not support the addition of new projects to a program. Should a workplan update require the addition of a new project, the affected application has to be opened for an amendment by NRCan/FII.

At any time during reporting periods, recipients may exit the system and come back to interim reports that have already been initiated by selecting the “Update Interim Report” link. Once all report information has been entered with budget and text screens, the report can be submitted by clicking the “File Now” button. Once the last project in the application has been filed, the recipient can no longer make changes to interim reports unless an information request is initiated by FII/NRCan.

Responding to Information Requests

The interim reporting review process may in some cases lead to follow up questions from either FII or NRCan or both. In most cases these questions will be asked in “Interim Report Requests”. A funding recipient will be alerted to an information request in two ways: “Forced Login” or “Email Response”.


N o v e m b e r 1 2 , 2 0 1 4 39 | P a g e

Whenever it is likely that a question needs something added or changed in either the operational report or the budget table, recipients will receive a “Forced Login” information request.

Whenever a simple response to the question is sufficient, FII/NRCan will send an “Email Response” information request.

FORCED LOGIN A funding recipient will be alerted to an information request in two steps:

Step One: Via email from “[email protected]” with the project name in the subject line. The body of the email will contain FII’s or NRCan’s question(s), and the recipient will have to go online into the “re-opened” interim report to provide the answer(s).

Step Two: Once logged in, the action item counter on the right side of the screen will have gone up by one for every information request sent.

By following the hotlink to the following screen the recipient will go to the interim report(s) from where the information request came.

The text message from the information request email is shown yellow rimmed in the top section of the interim report.



40 | P a g e N o v e m b e r 1 2 , 2 0 1 4

Once in the interim reporting page the recipient makes the changes or provides the additional information outlined in the information request. The final step is to re-submit the updated report by hitting the “File Now” button at the bottom of the screen. EMAIL RESPONSE Information requests which can be answered in a direct response to the question without changing the text or budget figures in the interim report itself can be handled in an “Email Response” process.

The funding recipient receives an email from [email protected] with the project name in the subject line. The body of the email will contain specific questions, and a link to a temporary webpage within the funding management system. The recipient will be redirected to the proponents’ system login page. After login in, the Action Item Counter for Interim Report Requests will show that there is an Information Request waiting. By following the hotlink the recipient will land on a temporary email template with the subject line and text from the information request email – along with a text box into which recipients will type their response.



N o v e m b e r 1 2 , 2 0 1 4 41 | P a g e

After hitting “Submit” the system displays the green rimmed success message and adds both question & answer to the interim report from where the information request originated.


42 | P a g e N o v e m b e r 1 2 , 2 0 1 4

INTERIM 3 AND ANNUAL PERFORMANCE REPORTING

Interim 3 Reporting

At the end of the fiscal year recipients are required to provide an interim 3 report which updates the budget with actual expenses incurred for the full year. Recipients also must complete performance measures with the actual number achieved based on the targets set when the proposal was submitted.

Funding recipients start the Interim 3 reporting process by selecting “Reporting” from the green menu bar on the Welcome screen, or by hitting the “Interim/Final Reporting” button on the Welcome screen.

As with Interim 1 and 2 reporting, the following screen will show recipients the list of projects within each application for which interim reports must be submitted. As well, in the list of projects will also be links to “Annual Performance Report” which will be covered in the section below. Each project report is made up of two sections, operational reporting and financial reporting. As well, at Interim 3 reporting, there is also a requirement for recipients to complete the “Target Achieved” section.


N o v e m b e r 1 2 , 2 0 1 4 43 | P a g e

Example of a recipient with 20 projects in 3 proposals, plus 3 “Annual Performance Reports” at year-end:

Operational reporting This part of the Interim 3 report is made up of three text boxes (different from Interim 1 and 2), and an upload support files tool that allows for the submission of attachments. The three text boxes are:

1. Please provide an overview of the annual key achievements and benefits achieved. Include deliverables and outputs with your report (where applicable).

2. Please explain financial variances between annual spending and budget. Are there any aspects of the project that were not accomplished? Please provide reasons.

3. What can be done next to capitalize on the recent achievements of the project? What would you do different next time?

In the first text section recipients should focus on high level achievements of the program (major milestones/deliverables completed) rather than listing all steps/phases of the project completed. In this area the recipient can also include a summary of the benefits to industry (e.g., increased sales, reduced competition, new research completed etc.). The second question prompts recipients to focus on what unplanned events caused challenges or roadblocks for completion of the workplan as it stood at the end of Interim 2 reporting. When program elements have not be completed as planned, this section much include explanation of these instances. Finally the third text section asks the recipient to make forward looking statements about what should be done next to continue to advance the work completed in the program over the last fiscal year. This should


44 | P a g e N o v e m b e r 1 2 , 2 0 1 4

indicate how specific gains made in the market can be secured or extended in future activities (if appropriate). If there were some elements of the project which did not go as well as hoped, the recipient should note the lessons learned from delivering the program and how these roadblocks or challenges could be avoided or mitigated in the future. In this way FII/NRCan can better understand where factors outside (or within) the recipient’s control contributed to program outcomes not being achieved. Funders may also ‘roll up’ these lessons in the aggregate (while maintaining confidentiality) to help other recipients learn from past experience in a market. File Attachments In this section, recipients have the opportunity to augment the information from the previous three text fields. Electronic samples of deliverables can be submitted using this feature (e.g., reports, samples of advertising etc), as well as photography / video footage of program delivery. Photography should always be high resolution (300 dpi or more), so that it can be used by FII and/or NRCan in electronic and print documents such as annual reports, stakeholder reports and case studies. Typically high resolution photography files are more than 2 megabytes in size. Recipients are asked to refer to the “Deliverables” tab which will produce a list to assist Recipients in ensuring that all requirement documents are provided to FII and NRCan.

Targets Achieved Performance targets for each activity within a project were set when the application was submitted to FII/NRCan. Reporting on the achievement of the targets is done in Interim 3 reporting. These Immediate Performance Indicator targets appear at the top of the budget tables of each activity. Recipients must report actual values for performance targets based on their records and tracking throughout the year. Note that failure to submit accurate and complete performance values may delay approval of reporting.

Financial reporting: The financial reporting aspect of each interim report is managed in an expanded version of the budget table that proponents previously developed in the original proposal.


N o v e m b e r 1 2 , 2 0 1 4 45 | P a g e

In each activity of the budget screen, recipients will see the previously approved budget, and report actual spending against the budget. However, with Interim 3 reporting, the actual spending must be broken down and provided for each budget item. Note that although the column for the revised actual spending at Interim 3 is titled ‘Revised Budget’, the data entered should relate to actual spending for the year based on the recipient’s accounting system.

Annual Performance Reporting

For each application, at Interim 3 Reporting, there is an additional requirement to complete Annual Performance Reporting. Based on the focus area(s) selected by the recipient when the application was developed, there are predetermined performance indicators for which targets were identified and for which year-end results achieved must be indicated by the recipient. There are also two text boxes which form part of the Annual Performance Reporting. One allows funding recipients to elaborate on the reported performance indicators and add performance related commentary, and a second one asks funding recipients to highlight any key accomplishments that should be considered for promotional and communication activities in support of the funding programs.


46 | P a g e N o v e m b e r 1 2 , 2 0 1 4

This section should not be used to summarise once again all the activities completed during the year. The purpose of this section is to give particular attention to noteworthy milestone achievements in the past year. These may be used in promoting success in FII/NRCan reports or communication with government. Therefore recipients should focus on the top outcomes (e.g., code approval secured, incremental sales, new product enters the market, highest tradeshow attendance ever).

ANNUAL RECONCILIATION STATEMENT AND STATEMENT OF CERTIFICATION OF PROJECT EXPENSES (FII ONLY)

As part of the annual financial reporting process FII asks all funding recipients to deliver a Reconciliation Statement and Certification of Project Expenditures. The statement must be signed on behalf of the recipient by an individual holding a professional accounting designation which certification will confirm that


N o v e m b e r 1 2 , 2 0 1 4 47 | P a g e

the annual financial report is a true and accurate representation of the financial transactions undertaken by the recipient in respect of the work performed during the fiscal year. This document is also part of the audit record for the agreement.

Part 1 “Certification of Project Expenditures” includes a certification by such professional that all the third party project funding and the additional outside funding, if any, received by the recipient in connection with the work or the project proposal has been disclosed to FII and is accurately reflected as the applicable type of funding in the online annual financial report. All numbers reported in Part 1 of the statement refer to the total actual cost of delivering the program.

Part 2 “Reconciliation of Funds received from FII against FII’s share of eligible expenditures” certifies and reconciles the funding provided to the recipient with the recipient’s claimed eligible costs and accountable advances and remaining cash on hand. Part 2 will also specify the total amount of interest earned on accountable advances and on the FII project funding during the fiscal year. All numbers reported in Part 2 refer to FII’s share of the total cost of delivering the program.

The statement template explains where to find the relevant figures in the online system’s Interim 3 “Detailed Summary Report”, which can be downloaded from the system.

COMPLETING THE CERTIFICATION OF ELIGIBLE EXPENDITURES INCURRED AND PAID (NRCAN ONLY)

As part of the annual financial reporting process NRCan asks all funding recipients to deliver a CERTIFICATION OF ELIGIBLE EXPENDITURES INCURRED AND PAID (see Schedule D of the Contribution Agreement for a sample specimen). The certification must be on company letterhead and be signed by a duty authorized officer of the association confirming that all claims for payment are true and accurate. This document is also part of the audit record for the agreement.

NOTE:

All figures included in these financial reports should include administration allowance (10%) based on the assumption that due to timely and accurate interim reporting the full allowance will be earned. The online system will show the total budget or actual cost for the program (including the 5 per cent earnable administration allowance). In practice, FII advance up to 95 per cent of their contribution to the total budget up to the end of the financial year. NRCan advances the full 10% administration allowance through the year, and then reconciles what has been earned by the recipient at year end. At year end, the calculation is made to determine how much of the 5 per cent has been earned by the proponent and additional accountable advances may be issued after the Interim 3 and Financial Reports are received and approved.

Managing Deliverables

Most Deliverables are pre-defined for every activity type in the FMS system. For example, the deliverables for a tradeshow are “Report on Activity & Visual Documentation”. In this case the report on the activity is


48 | P a g e N o v e m b e r 1 2 , 2 0 1 4

the interim period report (or part of it), and visual documentation is high resolution photographs of the tradeshow booth, staff and visitors which document the recipient’s attendance and provide the funding agencies and the recipient with photography that can be used in recipients’ and funders’ publications and reports. Another example of a deliverable is a sample of a publication, which can be attached to an interim report in electronic format, or submitted in print format to FII and/or NRCan. Recipients should apply NRCan’s and FII’s logo to publications when appropriate.

The FMS system automatically creates a read-only “Deliverables” tab (see below screenshot) which lists the deliverables that must be submitted to NRCan and/or FII by year-end. Recipients should use the “Deliverables” tab as a checklist while they prepare interim reports and the year-end report.

Note where a deliverable is very large, or it is not possible to upload them to the system, and these can be supplied in hard copy format to the offices of FII/NRCan. Failure to supply all deliverables may delay approval of the final interim report. Once the recipient has completed all annual performance reporting fields and deliverables the report can be filed for review by FII/NRCan.


N o v e m b e r 1 2 , 2 0 1 4 49 | P a g e

If there are any areas of the Interim 3 or Annual Performance Report that are not clear, FII/NRCan can follow the process outlined above to lodge an information request. Once all online reports have been filed, NRCan and FII review and approve as appropriate. Once all the reports are approved by FII/NRCan, they can be viewed as “read only” but can no longer be changed.


50 | P a g e N o v e m b e r 1 2 , 2 0 1 4

TROUBLESHOOTING

With any technological solution there may be times when the FMS system is down for maintenance or enhancements or when recipients may encounter difficulties accessing the system or entering data. FII and NRCan invest considerable time and money to maintain the online system and keep maintenance or system errors to a minimum. Also the data is regularly backed up so it is unlikely that all data will be lost if a mistake is made entering something. Data loss is rare but cannot be completely avoided.

FII and NRCan staff has administrative access to the system so they are the first point of contact if there are any problems with the system or questions as to how to do something that this guide does not already address.

Problems that may arise include:

1. User unable to log on to the system – receives error message or has forgotten password 2. Incorrect text or numbers were accidentally entered and need to be changed but the application or

report has already been filed. 3. User gets an error message when trying to access or enter data

If a recipient receives an error message when logging on to the system or has forgotten their password, the first thing the recipient can do is attempt to reset their password using the “Forgot Password” link on the log in page. The user will be prompted to enter their email address (make sure to use the email address exactly as it appears on the account in question). Once the address is submitted they will receive a new system generated password. Once the user has logged in to the system with the new password they can change it using the instructions in section 3 above (Customizing FMS).

If a user enters incorrect data but only realizes this after the report or application has been filed, they should contact FII and/or NRCan to inform them of the error. They will advise the user as to the best course of action to correct this as it will depend on the specific circumstances.

In the third scenario above the user may receive an error message or get ‘locked out’ and can’t enter or save data as expected. In this case there is likely to be a user error or system glitch causing the lock out. If possible take a screen shot as soon as the issue arises. To take a screen shot make sure you are in the browser window, and hold Alt+PrtScn buttons simultaneously. This takes a picture of the screen so FII/NRCan can see exactly what happened. The user should also record the following immediately.

a) Browser name and version that was used at the time (e.g., Internet Explorer v.10, Google Chrome v 37.0 etc)


N o v e m b e r 1 2 , 2 0 1 4 51 | P a g e

b) Summarise EXACTLY what the user was trying to do (e.g., update budget for project ‘XYZ’, or enter text in field “ABC”, or trying to save changes to interim report “EFG” etc).

Once the user has determined what browser was used and what exactly was being done when the error or system glitch occurred the user should contact FII and/or NRCan by email including the descriptions and screenshots as outlined above. Users can also follow up by phone but the email is important for the funders to preserve the information about what happened so they can stop problems from recurring.

FII/NRCan staff will first try to assist if we can resolve the problem immediately. If there is a genuine system error then there is an IT company that manages the online system and FII/NRCan will flag a technical issue for them to resolve. However, it is critical that the user provides as much information as possible BEFORE the IT company is advised so that it is clear exactly what happened.

Funding Management System (FMS) Proponent Guidebook · This guide has been developed to assist new...

Documents

Transcript of Funding Management System (FMS) Proponent Guidebook · This guide has been developed to assist new...