Background

There are two possible scenarios under which Heritage Alliance Lanka (HAL) may need to disburse funds to projects.

a. Solicited (by HAL) Projects

b. Unsolicited requests for financial support of projects

Solicited Project – This is where HAL will call for expressions of interest from the community at large seeking applications for funds to deliver HAL nominated project. Such a project would be specifically designed to meet a specific goal / outcome of HAL. This type of project will be heavily documented and directed by HAL. Currently there is no intention to undertake such projects and therefore we will not consider the project process for solicited projects.

Unsolicited projects – These is where a third part approaches HAL requesting for financial support for their project. Typically, these requests may vary from a casual request via social media to a more formal, reasonably well document request. In any event it is unlikely that the initial inquiry will elicit adequate information for HAL to make a well-informed decision. Therefore, a Unsolicited Project approval policy will be required. HAL will need to formulate a process of evaluation – the Policy. HAL will need to develop an Application form based on this policy document which will need to be filled by applicant – the Application Form. The Policy is set of rules on what information is required and how that information is to be evaluated by HAL in an unbiased and transparent manner.

This document ONLY covers Unsolicited Project Selection Policy.

Project Categorization

It is important to categorize projects based on project value. The reasons are that we would wish to spend less time and effort evaluating a low-cost project as opposed to a high value project which would demand greater scrutiny to maintain the trust of our donors.

A. Up to AUD2,500
B. Above AUD2,500 to AUD10,000
C. Above AUD10,000

Where a project is denominated in any currency other than AUD, HAL will be required to lock in the exchange rate of that currency, as published by any one of the top 5 banks of Australia, on the date the application was received by the secretary.

IMPORTANT CONSIDERATIONS TO AVOID PROJECTS BEING APPROVED UNDER LOWER LEVELS OF SCRUTINY

Applicants for funding must NOT break down larger project into smaller category projects in order to circumnavigate the project approval process. HAL must always aggregate all the smaller projects and use the highest level of project scrutiny on all of the constituent elements. Furthermore, should a second application for another element of the same project be made after the approval of an earlier project, then the second project must be evaluated on the basis of the aggregate value of both projects.

Unsolicited Project Selection Policy

1. Project Definition – adequate criteria to understand extent of scope, its limitations, uncertainties (Project Cat. A)

• Clearly defined project title, project scope, milestones, setting out boundaries, what is in what is out. (Project Cat. B)
• Clarify potential areas of overlap with other similar projects (Project Cat. B)
• Define the need for the project along with justification of the need (Project Cat. C)
• The authorities which have statutory control over the area of the project should be cited along with the necessary approvals to proceed with the project (Project Cat. B)
• Considerations for the long-term impact and preservation of the any excavation site
• Detailed explanation of the archaeological methods to be employed. (Project Cat. B)
  • Reference to any innovative techniques or technologies.
  • Location details, including coordinates and accessibility.
  • Historical context and significance of the chosen site.
• State any ethical considerations and propose measures to address them. (Project Cat. B)

2. Authority within HAL to make decisions

• Projects Category A – By a simple majority of the full management committee approval with justification and risks considered as part of the decision process. The Decision Notice is to be documented and at a minimum record consideration of clauses 3,5, 6, 11, 12. Decision Notice should be tabled at the next Management Committee (MC) meeting and form part of the meeting minutes. The Decision Notice should be made available to members upon request.

• Projects Category B – The MC should consider including other members with experience / ability to provide critical thinking / analysis to the matters under its purview. The Decision should be by 67% of the full management committee plus those members included in the decision process. The Decision Notice is to be documented and at a minimum record consideration of clauses 3, 4, 5, 6, 7, 8, 11, 12. Decision Notice should be tabled at the next MC meeting and form part of the meeting minutes. The Decision Notice should be made available to members upon request. All MC and other members are required to declare any conflict of interest prior to commencing the review of the project and be excluded from the process.

• Projects Category C – The MC must appoint a special subcommittee consisting of no less than 4 members and at least 50% non-MC members. The MC must provide the subcommittee with the terms of reference. In order to maintain separation of powers it would be beneficial if the office bearers of the MC are not part of the subcommittee. All MC and Subcommittee members are required to declare any conflict of interest prior to commencing the review of the project and be excluded from the process. The chair of the sub-committee should preferably be a non-MC member. Members of the sub-committee should have experience / ability to provide critical thinking / analysis to the matters under its purview. Where deemed necessary the Sub-committee may call upon independent expertise to provide advice. Such advice may need to be paid for, to obtain the required quality of expert advice. The sub-committee at its discretion can ask for additional information from the applicant. The sub-committee is required to submit its recommendations in writing to the MC. It is preferable that a unanimous decision of the full management committee is achieved. Matters of contention could be referred back to the subcommittee. IF a unanimous decision by the MC is still not achievable, an 80% affirmative of the full management committee can be considered adequate.

• The Decision Notice is to be documented and record consideration of all clauses. Decision Notice should be tabled at the next MC meeting and form part of the meeting minutes. The Decision Notice should be made available to members upon request.

• Category D Special condition to approve additional funds for already approved Projects – Any requests for additional funds must be considered as a scope increase of the originally approved project and therefore a new project approval must be undertaken based on the above three project categorization for the full amount which is the original amount plus the additional amount.

3. Intended Project Outcomes

• Intended outcome should be clearly explained and where possible similar projects with similar outcomes cited.
• Where a project has more than one intended outcome each should be justified separately.
• Each outcome must have its own timeline.
• Expected findings and contributions to archaeological knowledge.
• Anticipated publications, conferences, or exhibitions resulting from the project.

4. Project Budget

• Breakdown of the budget, detailing expenses for each stage of the project – such as excavation, equipment, personnel, and analysis, etc.
• Justification for each stage with market tested cost and potential sources of funding.
• Budget should reflect project stages with a sub-total for each stage.
• Where funds are required in advance of activity adequate evidence to provide transparency for funds to be released
• Funds will be released only on a staged basis and only when previous stages have progressed according to the activity statement.

5. Project stakeholder

• All project stakeholders must be listed along with the interaction and consequences of the interaction as a result of the project.
• Where the interaction is of the nature that it impacts the stakeholder’s natural course of daily activity, then mitigation measures must be found and agreed with the impacted stakeholder
• Where stakeholders have reporting requirements, these must be included in the project.
• Where stakeholders have a vested interest or a stake to claim rights of any nature, such interests must be clearly stated.
• Any impact on HAL’s own rights as a result of stakeholder claims must be divulged.

6. Project Ownership – including legal ownership of all goods & services

• Clearly define the legal owner of the project.
• The application for funds MUST be made by the legal Owner of the project.
• The legal owner of the project will be accountable and answerable to HAL on all aspects of transparency and integrity.
• Clearly define who the owns the intellectual and property rights of the project findings and outcomes.
• Clearly define the legal owner of all goods and services procured via the project.
• Conflict of interests between the intended project owner’s rights and other participants and stakeholders must be stated clearly.
• State what measures are in place to safeguard project owner’s and other stakeholder rights.
• All media rights and the ownership of the recorded / digitized content including distribution rights to be clearly defined.
• Conflict of interests between the intended project owner’s rights and other participants and stakeholders must be stated clearly.

7. Project – Cash management / Financial justification & Transparency

•  All financial records along with project funds application, approval documentation, Decision Notice must be archived within the project folder and made available when required for period of 7 years from the date of project completion.
• HAL must maintain a project specific financial transaction record in accordance with conditions within the Decision Notice.
• Where there is more than one outcome the funding should be shown separately against each outcome.
• Where individual goods or services over the value of AUD 1000 forms part of a project each such item must be listed, justified and costed in adequate detail to demonstrate transparency and ensure funds are not siphoned off for use outside of the stated requirement.
• All invoices / receipts / evidence of transfer of funds etc must be included in project documents to be achieved.

8. Activity Statement

• Each outcome / milestone must have a separate timeline and statement of activity.
• Activity statement should cover issues of huma rights, personal safety, discrimination
• Where stakeholders are participants and or observers of the projects such activity must disclosed.
• Highlight any seasonal considerations or time-sensitive aspects.

9. Project reporting requirements and frequency.

• Establish clear milestones for the project and define reporting to be provided at each stage.
• State who will receive the report other than HAL

10. Project technical expertise

• Justifiably state technical expertise required to achieve each outcome
• Justifiably state who and how the required expertise will be provided to the project
• Name and qualification of technical personnel

11. Project decision process and publishing decision.

• Category A Projects – MC should document and sign-off on Decision Notice. The Secretary should issue the Decision Notice in PDF to Project owner.
• Category B Projects – MC plus those members included in the selection process should document and sign-off on Decision Notice. The Secretary should issue the Decision Notice in PDF to Project owner.
• Category C Projects – Subcommittee should document and sign-off on a Draft Decision Notice which is to be presented to the MC. Thereafter the chair of the Subcommittee can further respond to any queries from the MC. The MC must consider the Draft Decision Notice and either approve or approve with amendments or reject the Draft Decision Notice. If approved or approved with amendments then the Secretary should issue the Decision Notice in PDF to Project owner. If the Draft Decision Notice is rejected by the MC then a joint sitting of the subcommittee and the MC should once again review the decision and confirm the outcome. Thereafter, the Decision Notice can be issued by the Secretary to the Project Owner.
• All requests for additional information must be made only via secretary directly to the Project Owner.
• Members of the MC and other members included in the Project selection process must not divulge or discuss any of the project information until 7 calendrer days after the Decision Notice is received by the applicant.
• When the Decision Notice is to be made public, follow PRC guidelines.
• The secretary can from time to time release a statement to the membership from the MC president on the progress of the selection process in general terms without divulging the matters under consideration. In the event the it is a Category C project this update may be issued by the chair of the subcommittee.

12. Project termination – to include residual value disposal, final reports, ownership confirmation, etc.

• Project termination milestone must be clearly defined.
• Resources, Goods, Services, that do not intend to be fully utilized as part of the project must be specified. The disposal mechanism for the residual value of such underutilized/remaining Resources, Goods, Services items must be clearly spelt out as part of the project proposal.
• HAL needs to verify that the disposal mechanism has been fully executed prior to terminating the project.
• Evidence of such disposal should be included in the project archives.
• Equipment storage or disposal costs
• Audited accounts for the full project

13. Decision Notice

• Must include all applicable conditions as applicable to each outcome.
• Applicant is required to acknowledge and sign off on the decision notice prior to disbursement of funds.

14. Confidentiality

• All members who have access to the Project information are bound to maintain the confidentiality of all of the applicant’s information. This is important to ensure that sensitive information is not disclosed or publicized as result of breaches on HAL part.
• The Decision Notice must not include information that may be sensitive in a competitive environment or have an intellectual property right attached to it, as the Decision Notice will need to be accessible to the general membership who are NOT governed by confidentiality.
• Deliberation of sensitive information by the selection committee must be kept confidentially within the project folder.
• Confidentiality of applicant’s information is critical to protecting HAL from potential claims by the applicant against loss of opportunity, intellectual property rights and other benefits.

15. Risk Management

• Identify any potential project risks and mitigation strategies.

16. Managing conflict of interests
The purpose of this clause is to ensure that office bearers of HAL who are responsible for decision making act at all times with total impartiality, assessing each project proposal purely on the merits of the submission. This is a key requirement to build and strengthen the donor community’s trust in HAL as worthy recipient of donor funds. HAL must at all times ensure that any possibility of conflict of interest is completely ruled out. At a minimum the following must be implemented at all times.

• Members of the Management committee, Executive committee, sub-committee and any other committees (CM) must not be in any way, shape or form be associated with or affiliated to any projects or project owners / stakeholders who are beneficiaries of HAL.
• CMs must declare any interest whatsoever in any past, present or future project. Such CMs must declare their conflict and resign their position in all committees as soon as they are aware of the possibility of a conflict of interest.
• CMs are required to declare any casual social contact with any potential or current HAL beneficiaries to the HAL secretary as soon as possible.
• CMs MUST strictly adhere to all of the confidentiality conditions set out in clause 14 of the is Policy.
• If a CM is found to be in breach of this clause, then the CM should be immediately removed from all committees, their access to all HAL information and data removed and their HAL membership cancelled.

17. External Decision Notice•

• External decision Notice is a document that is sent from HAL to the applicant.
• It contains all of the information that forms part of the terms and conditions under which the HAL agrees to provide the applicant with funding for the project.
• Example of such conditions can be; safety requirements, financial compliance conditions, statutory approvals, public welfare. intellectual property rights, reporting requirements, types of evidence required etc.
• Non-compliance by the applicant of any of the conditions within the Decision Notice
• Permits HAL to stop funding the project further pending the rectification of the noncompliance. In the event of non-compliance HAL retains all rights to permanently terminate all future funding.
• The conditions to be imposed are entirely at the discretion of HAL. However good practice dictates that adequate conditions to demonstrate clearly that project objectives have been met with transparency and integrity is a minimum.
• Applicant is required to acknowledge and sign off on the decision notice prior to disbursement of funds.

18. “Terms of reference” means the scope and limitations of the subcommittees task. It is good practice to cite specific areas of concern that is expected to be covered in the subcommittee’s recommendations and Decision Notice.