City of Naperville Special Events and Cultural Amenities (SECA) Fund Policy and Procedures Manual. Funding Year (May 1, 2016 April 30, 2017)

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1 City of Naperville Special Events and Cultural Amenities (SECA) Fund Policy and Procedures Manual Funding Year (May 1, 2016 April 30, 2017) The Mission of the Special Event and Cultural Amenities Fund The City of Naperville encourages celebrations of community that focus on the heritage, diversity, and character of Naperville. In support of these activities, the City of Naperville established the Special Events and Cultural Amenities (SECA) Fund in 2004 as a separate fund used solely for the funding of social and artistic events and entities, providing cultural experiences for the Naperville community and its visitors.

2 Section One Who is Involved? The City Clerk s Office is responsible for the administration of the Special Events and Cultural Amenities Fund and its application process. Specifically, the Special Events Coordinator accepts the applications, provides a cursory review to ensure requirements have been met, and submits all applications to the Advisory Cultural Commission. Members of the Advisory Cultural Commission (ACC and the Commission ) are appointed by the Mayor. The Commission is comprised of nine members of the community and one nonvoting Council member. The Commission performs a comprehensive review of all applications and makes funding recommendations to the City Council. The City Council is made up of the Mayor and eight Council members. The City Council will review the applications, the recommendations made by the ACC, and make the final funding decisions. Section Two Eligibility Requirements In order to apply for SECA funds, organizations must meet the following requirements: 1) The sponsoring organization must be a non-profit 501(c) (3) or recognized by the State of Illinois as a non-profit organization. The organization must supply a valid tax ID number on the application. 2) The event, project, or initiative must be located within incorporated Naperville. 3) The event, project, or initiative must begin on or after May 1, No project may extend beyond April 30, Events held outside of the funding year will not be reimbursed. 4) The applicant, or designee, must attend one of three SECA Fund workshops held at the beginning of the application cycle. Applicants who do not attend a workshop will be ineligible to apply for the current SECA funding cycle. 5) The request cannot be for a social services event, project, or initiative such as transitional housing, job placement, and crisis intervention initiatives. 6) Appropriate funding requests include, but are not limited to, organizational administration and operations (excluding salary, payroll and all other compensation related expenses), capital improvement purchases, one-time projects, new program startup, community events, and cultural education. 7) Excluding existing Agreements, preference will be given to non-governmental/nontaxing applicants. Page 2 of 13

3 Although the organization may be eligible to apply for funding, the City does not guarantee that the applicant will receive funding. Funding is awarded on a competitive basis each year and past funding does not secure funding in the future. Section Three Recipient Requirements Organizations that have been awarded funds must comply with the following requirements: 1) Recipients must sign and return the Special Events and Cultural Amenities Fund Grant Agreement. 2) Funds will only be reimbursed for what was approved in the application. 3) Any changes in project scope must be approved in advance by the Advisory Cultural Commission in order to receive funding. Requests for changes in scope must be submitted to the Special Events Coordinator not later than 30 days prior to the event. 4) It is the responsibility of the recipients to obtain all required permits, insurance, event authorization and pay any relevant fees. 5) Grant recipients must comply with all local, state, and federal laws and regulations concerning civil and human rights. 6) Recipients must comply with the Americans with Disabilities Act (ADA) Accessibility guidelines. 7) Each applicant shall disclose whether any Director, Board Member, or employee of the applicant has a family interest, employment interest or ownership interest in the applicant s use of the SECA funds being requested. Family interest, employment interest and ownership interest are defined in of the Naperville Municipal Code. (See Attachment One) 8) The SECA logo is the only City logo that may appear on event materials. 9) All grantees must submit a Final Financial Report to the Special Events Coordinator no later than 90 days after the completion of the project/event/program/initiative. Section Four Receiving SECA Funds Awardees must submit an invoice and a reimbursement request form to the Special Events Coordinator in order to receive funds. Upon approval by the Special Events Coordinator the invoice will be forwarded to the Finance Department for processing. Grant recipients will be reimbursed, up to the amount awarded, within 60 days of staff approval. However, awards greater than $50,000 will be reimbursed on a quarterly basis. The SECA Fund is a reimbursement-based grant fund. No awards shall be advanced prior to the project, event, program, or initiative without approval of the Advisory Cultural Commission. Page 3 of 13

4 Please note the following limitations on the use of SECA grant funds: SECA monies shall not be used for the payment of any previous year s deficit. Requests for reimbursement may only be submitted after the event has occurred, unless special permission has been granted by the Advisory Cultural Commission. Funds shall not be used to support events or activities outside incorporated Naperville. Funds shall not be used for, or to subsidize, an individual s salary, an organization s payroll, and all other compensation related expenses, or academic study. Funds shall not be used to pay for commercial storage space. Recipients will not be reimbursed for any travel-related expenses. Food and beverage purchases, with the exception of professional catering, are not eligible for reimbursement. This includes grocery store, fast food and other restaurant purchases. Requests for reimbursement for costumes must include a photo of the costume. Receipts submitted for reimbursement must not include items purchased for personal use. Applicants must make a good faith effort to purchase goods and services in Naperville. Section Five Reporting Requirements Evaluating the progress of SECA grantees is a vital part of the award process. All awardees are required to submit a Final Financial Report to the Special Events Coordinator no later than 90 days after the completion of the event. Reports will be filed and used by the Commission to evaluate future funding requests. Section Six Promotion of City Amenities and Services In recognition of the importance of incorporating and promoting positive local economic impact as part of the SECA Fund, recipients are encouraged to contact and work with the Naperville Convention and Visitors Bureau in a good faith manner in order to facilitate overnight accommodations and use of other community amenities within the city. For more information, visit naperville.com or call Section Seven SECA Logo Use of the City of Naperville logo is not permitted. In 2011 a logo design contest was conducted. The winning design is shown below and will be provided to all SECA fund recipients upon request for the purpose of designating their event/project as SECA funded. Page 4 of 13

5 Section Eight Complete SECA Application Timeline SECA Application Timeline Activity Date(s) SECA application and Policy/Procedures Manual available online September 14, 2015 Mandatory SECA Workshops for Applicants September 21, 22, SECA applications due October 30, applications available for Advisory Cultural Commission review November 13, 2015 Commission Workshop January 2016 Commission reviews individual scoring and funding allocations January 2016 Commission Workshop February 2016 City Council Workshop March 2016 City Council Meeting to formally approve SECA awards April 2016 Approved contracts distributed to grantees for signature April/May 2016 Page 5 of 13

6 Section Nine Overview of the Application Process The City will be using GIFTS Online software for the application season. Access to the software will be available from the City s website at SECA Application beginning September 14, New users will be asked to create a login and password. Applications and supporting documentation are due by October 30, 2015 at 5:00 p.m. Applicants requesting funding which totals $2,000 or less are required to only complete the Preapplication questions and Section One of the application, however are welcome to submit the entire application if appropriate. Applicants requesting funding greater than $2,000 must complete the entire application. Applicants must attend one of three one-hour mandatory workshops. Monday, September 21 at 10:00 a.m. in Council Chambers Tuesday, September 22 at 3:00 p.m. in Council Chambers Wednesday, September 30 at 6:00 p.m. in Council Chambers The Commission will begin reviewing applications on November 13, ACC members will be given until early January 2016 to assign preliminary funding allocations. In January the Commission will meet to discuss the individually assigned funding levels and reach consensus on overall dollars awarded. The Commission will also host a workshop in January/February where applicants may speak and/or make brief presentations. Staff and the ACC will be available to answer questions. All applicants will have three minutes to address the Commission. In February/March 2016, a City Council Workshop will be held. The Council will review the recommendations of the Commission and make final funding decisions which will be approved in April. Reimbursement requests may be submitted to the Special Events Coordinator beginning May The event, project, or initiative must begin on or after May 1, No project may extend beyond April 30, Events held outside of the funding year will not be reimbursed. No exceptions. Funds awarded in excess of $50,000 will be reimbursed on a quarterly basis. Applications that are submitted outside of the time frame set forth in this manual will not be accepted. Section Ten Completing the Application All applications will be submitted via the GIFTS Online software. Access to the software will be available from the City s website at SECA Application beginning at noon on September 14, Page 6 of 13

7 If you are unable to complete the application in one session, you can save the application and return to it at a later time via the City s website at SECA Application. Organizations requesting $2,000 or less are required to complete the Pre-application questions and Section One only. Organizations requesting funding greater than $2,000 must complete the entire application. The Application Before you begin, read the complete SECA Manual, have the organization s tax identification number available, and supporting documentation. You will be asked to enter the tax ID number in order to proceed and must upload documents to complete the application. Pre-application Questions You must answer all questions to prove eligibility and proceed to the application. 1. Tax ID Number Enter the organization s tax ID number 2. Non-profit Status Confirm that the organization is a non-profit 501(c)(3) or recognized by the State of Illinois as a non-profit organization. 3. Location Confirm that the event, project, or initiative takes place within incorporated Naperville. 4. Date Confirm that the event, project, or initiative will be held between May 1, 2016-April 30, Event Confirm that the request is not for a social services event, project, or initiative such as transitional housing, job placement, and crisis intervention initiatives. 6. Event promotion Confirm that the request is not for an event, project, or initiative that promotes religion or a religious organization. Page 7 of 13

8 Section One: General Information This section must be completed by all applications. Applicants must provide contact information, organization details, project information, attendance estimates, and funding specifics. The following sections are only required for organizations requesting funding greater than $2,000. Section Two: Project Purpose Applicants are requested to accurately and succinctly describe the event, project, or initiative within the maximum word count provided. This is an opportunity to educate the Advisory Cultural Commission on the history of the organization, project details, timeline, and evaluation metrics. In this section, the applicant must select the category that most appropriately describes the request. The categories are defined below: Existing Agreement The City of Naperville has entered into a formal, multi-year contracts for these requests. City Initiative Programs and projects requiring partial City funding. Administration Funding for City staff positions that manage the Food and Beverage Tax and the SECA Fund. New Initiative These requests are for first-year programs, projects, and events. Capital Requests for a single item totaling more than $5,000. Promotion Reserved for Naperville Development Partnership marketing initiative. Cultural Amenity An artistic event or program that provides a cultural experience. Special Event without City Services Events that do not require street closures or the presence of City staff. Special Event with City Services Events that require street closures and the presence City staff. Page 8 of 13

9 Section Three: Impact to Naperville Community Describe how the event, project, or initiative will benefit the Naperville community, discuss the collaborative relationships that have developed, and highlight recycling and other green initiatives associated with the project. Applicants must also include an accessibility plan, if appropriate. Section Four: Project Finances In this section, the applicant must provide a complete and accurate account of the finances for each category. A detailed description of expenses for each category is required. Salaries and other administration costs are ineligible for SECA funding and will not be reimbursed. The applicant must also explain how receiving partial funding will impact the event, project, or initiative. Supplemental Revenues This includes funding from other organizations such as private, state, federal, foundation or another entity. In-kind Contributions This includes any non-cash donation (printing, marketing, etc.), contribution, or gift that is anticipated for the project. Artist fees or honorarium This includes funding for a personal appearance. Travel expenses will not be reimbursed by SECA. Facility rental This includes fees to reserve rental space for the event or performance. Event materials This includes promotional materials such as advertising, printing, programs, banners and flyers. Capital purchase The City of Naperville defines a capital purchase as a single item which exceeds $5,000. City Services Please enter the amount provided by the Special Events Coordinator. Miscellaneous This section is for eligible items that fall outside of the above categories. Page 9 of 13

10 Each applicant shall disclose whether any director, board member, or employee of the applicant/organization receiving funds has a family interest, employment interest, or ownership in the applicant/organization use of the SECA funds being requested. Family interest, employment interest, and ownership interest are defined in Section of the Naperville Municipal Code. Additional Documentation All applicants are required to upload the following documentation with the application: 1. Non-profit status document 2. Most recently completed agency audit. If one is not available, please submit a letter explaining the reasons. 3. Most recent Federal Form Written endorsement by the organization s governing body authorizing the application 5. Disclosure of Interest Section Eleven Frequently Asked Questions 1) Can I use the City of Naperville logo on event materials? No. See Section Seven of this manual for details. 2) Where is the application located? Can I submit the application in hard copy? All applications will be submitted via the GIFTS Online software. Access to the software will be available from the City s website at SECA Application beginning at noon on September 14, Applications must be submitted online. 3) What if I cannot submit my application by the deadline? Applications that are submitted past the deadline will be not accepted. 4) How long after I submit the application will I hear if my event has received funding? See Section Eight of this manual for a detailed timeline of the application process. 5) Can I submit more than one application for different parts of my project/event/initiative? No. Only one application may be submitted per project/event/initiative. 6) What is a capital purchase? The City of Naperville defines a capital purchase as a single item which exceeds $5,000 and has a useful life of more than one year. 7) Can government entities or other taxing bodies apply for SECA funds? Yes. However, preference is given to non-government/non-taxing organizations. Page 10 of 13

11 8) Does the project need to meet a minimum dollar amount to apply for SECA funds? No. Applicants requesting less than or equal to $2,000 are only required to complete Section One of the application. The entire application must be completed for requests greater than $2,000. 9) My event involves travel and overnight accommodations. Are those expenses eligible for reimbursement? No. 10) I cannot possibly justify my request in so few words. Can I go over and/or submit supplemental documentation such as reports and pamphlets? Due to the high number of submissions that must be reviewed, the Commission has requested that responses be kept brief and succinct. A voluminous response will not improve the organization s funding opportunity. 11) Can I use SECA funds to hire an employee or pay another employee s salary? No. Use of SECA funds for an individual s salary, or any compensation-related expenses, is expressly prohibited. 12) Does the City require grantees to submit any reports? Yes. A Final Financial Report must be submitted to the Special Events Coordinator no later than 90 days after the completion of the project or event. 13) How do I receive the funds? Grantees receive funds through a reimbursement process. After the City receives and approves the event invoice, the Applicant will receive a check up to the amount that was awarded. If your award is $50,000 or more, you will be reimbursed on a quarterly basis. 14) How will I be notified of my award amount? Applicants are encouraged to attend the Advisory Cultural Commission and City Council workshops. Once funding levels have been decided, the Special Events Coordinator will send the contracts to awardees in April/May ) What is the difference between salary and artist fee/honorarium? The artist fee/honorarium is payment for an appearance or performance related to the specific event in the application. A salary is on ongoing commitment to an employee and is prohibited. 16) May I have the Advisory Cultural Commission members contact information? No. All requests and inquiries must be submitted to the Special Events Coordinator who serves as staff liaison to the Commission. Page 11 of 13

12 17) What if I am not awarded the entire amount that was requested? If the award is less than the amount requested, the applicant may choose to not hold the event and thus notify the Special Events Coordinator. If the event is still to be held, the grantee may decide to reduce the scope and scale of the event. 18) What type of documentation is required when submitting for reimbursement? Invoices and receipts are the preferred proof of purchase. Please do not comingle personal and event related purchases. Cancelled checks and credit card statements will not be accepted. 19) Do I have to attend a training session? If so, how long will it last? Yes. The training will last approximately one hour. 20) My event was moved outside of the funding year. What should I do? For budgeting purposes, it is important that events be held and reimbursed in the appropriate funding year. If the event has been moved into the next budget year, the grantee must submit a Request for Extension in writing to the Special Events Coordinator and include the reason for the extension. Requests for Extensions will be accepted up to 60 days into the next funding year and must be approved by the City Manager. 21) Should I expect SECA to fund my entire event? No. SECA is meant to supplement funding that the organization already has/or will have. The organization s ability to reduce its reliance on SECA funding will be evaluated by the Commission and City Council. Section Twelve Contact Information Shebnem Ozkaptan, MPA Budget/Management Analyst ozkaptans@naperville.il.us Pam LaFeber, Ph.D. City Clerk lafeberp@naperville.il.us Page 12 of 13

13 Attachment One : - DEFINITIONS: BUSINESS OR TRANSACTION: CONTRACT: EMPLOYMENT INTEREST: FAMILY INTEREST: OWNERSHIP INTEREST: Licenses, permits, approvals, and benefits granted, given, or entered into by the City. Business or transaction restrictions shall not apply to those applicants exempted under Section of this Title, unless specifically hereinafter provided. Any agreement between the City of Naperville and any person, firm, corporation, or entity for the purchase of materials, goods, or services or real estate from the entity. Contract shall also mean any agreement whereby real estate, materials, goods, or services are sold by the City to the entity. Contract shall also mean a deposit of monies, loans, or other financial services provided to the City by banks and other thrift institutions. Contract shall include employment by the City. An employment interest exists where a person is an employee or agent of the entity contracting or having any business or transaction with the City, and: 1. The person is compensated in a manner so that he would receive a commission, bonus, or profit sharing distribution based in whole, or in part, on the contract, business, or transaction with the City, or 2. The total of all contracts, business, or transactions between the City and the entity, in any calendar year, amount to more than twenty-five thousand dollars ($25,000.00). An employment interest shall not include employment by another unit of government. A family interest exists where a person has a wife, husband, son, daughter, father, mother, brother, or sister who has an ownership or employment interest in a contract, business, or transaction with the City. An ownership interest exists where a person is the sole proprietor, owner, partner, stockholder, or joint venture of the entity contracting, or having any business or transaction with the City. (Ord , ) Page 13 of 13