Monitoring and compliance procedures

Overseas Aid Alliance
Procedures for Monitoring Awards and Addressing Compliance issues

This document sets out the Overseas Aid Alliance procedures relating to:

Releasing awards,

Monitoring, reporting and non-compliance,

Recovery of unspent balances.

1) Procedure prior to making an Award.

(a) Compliance, identification and probity checks made on all applicant charities and organizations via the Charity Commission or the relevant regulatory body,

(b) Reference made to any previous working relationship with that partner e.g. compliance with reporting requirements and the delivery of the project against the approved proposal,

2) Procedure prior to the release of an approved Award.

(a) Written agreement obtained setting out the amount of the grant, the approved project, the reporting requirements and any other terms and conditions attached,

(b) Agreement to provide evidence by way of receipts for all significant items of expenditure and to allow a project visit to take place upon request,

(c) Funding only released following return of the signed agreement and subject to confirmation that any co-funding is in place,

(d) For awards greater than £10,000 payment made in two stages: First payment on commencement of the project, Second payment following a satisfactory interim report, approximately halfway through the project, including a budget showing spending to date against the approved budget.

3) Procedure following release of funding.

(a) Compliance with reporting requirements pro-actively monitored including the provision of site photographs and expenditure receipts,

(b) Non-compliance with any of the terms and conditions attached to the award to be followed up as deemed appropriate.

4) Procedure following non-compliance. Sanctions for non-compliance to include;

(a) Agreeing a revised reporting deadline should circumstances dictate,

(b) Issuing a warning that a breach has occurred and may be taken intoconsideration when considering future applications,

(d) Suspension or rejection of future applications for a specified period,

(e) Reporting the non-compliance to the Charity Commission or other RegulatoryBody with a request for them to investigate,

(f) Legal advice regarding proceedings or if necessary involvement of the police.

5. Procedure for return of unspent balances.

(a) All Final Reports must include a closing budget showing how the award was spent. The budget should also explain any variances from the budget approved at the outset,

(b) A general requirement for all unspent balances to be returned (subject to consideration of any explanation or further request received from the charity or organization involved),